Minutes of the Board of Regents of Stephen F. Austin State University. 2000, Volume No. 170

Stephen F. Austin
State University
Minutes of the
Board of Regents
Nacogdoches, Texas
October 31,2000
Volume 170
BOARD MINUTES OCTOBER 31,2000
TABLE OF CONTENTS
Page
01-1 Approval of August 1,2000 and September 26, 2000 Minutes 1
01-2 Faculty and Staff Appointments for 2000-01 1
01-3 Change of Status 4
01-4 Retirement 5
01-5 Voluntary Modification of Employment . 5
01-6 Temporary Employment Services Contract . 5
01-7 Underenrolled Classes 5
01-8 Designation of Positions Authorized to Approve University Expenditures. 6
01-9 FY 2001 Food Services Budget Increase 6
01-10 Visa/Mastercard and Discover Card Service Agreement 6
01-11 Budget Adjustment 6
01-12 Kennedy Auditorium Lighting 6
01-13 Building Project at Poultry Research Center 6
01-14 Replacement of Air Handlers in Hall 10 6
01-15 Purchase of Real Estate at 225 East College 6
01-16 Tower Lease for NETnet 7
01-17 Voluntary Annexation of Science Research Center Property 7
01-18 Private Support Organization Agreement with the SFA Real Estate
Foundation 7
01-19 University Policies and Procedures 7
01-20 Vote on Dr. Nicholas Henry for President 7
01-21 Vote for Dr. Charles Scifres for President 8
01-22 Rejection of Jimmy Murphy's Resignation as Board Chair 8
01-23 Amendment to Section 9 of Board Rules and Regulations Regarding
Appointment of a Presidential Screening Committee 8
01-24 Terminate Contract with Harold Webb and Associates 8
01-25 Seek New Firm for Presidential Search 8
01-26 Selection of New Presidential Search Screening Committee and Chair 8
01-27 Presidential Screening Committee Chair to Set Protocol and Provide
Time Frame for Selection of Committee Members 8
Appendix No. 1 - Bids for Temporary Employment Services Contract 9
Appendix No. 2 - Visa/Mastercard and Discover Card Service Agreement 12
Appendix No. 3 - Budget Adjustment 13
Appendix No. 4 - Budget Changes 14
Appendix No. 5 - Ground Lease for NETnet 15
Appendix No. 6 - PSO Agreement with SFA Real Estate Foundation 17
Appendix No. 7 - Policy Changes 21
New Academic Advising for Undergraduate Students PI
New Allocation of Information Technology Resources P2
New File Maintenance for Faculty Personnel Files P4
New Graduate Student Orientation and Advisement P6
New Travel P7
C-l.l Advance Airline Ticket Purchases P17
C-14 Foreign Travel P18
C-22 Non-Reimbursable Travel P19
C-33.1 Registration Fee P20
C-37 Travel Request P21
C-38 Travel Reimbursement P23
C-43 Travel Charge Card P28
C-46 Reporting Fiscal Misconduct P29
D-8.1 Computer and Network Security P33
D-13 Student Records P37
D-16 Hazing , P44
D-19 Illicit Drugs and Alcohol Abuse P46
D-21 Loudspeakers P55
D-23 Parades and Demonstrations P56
D-26 Public/Student Health P58
D-35 Students Displaying Serious Psychological Problems ..P59
F-15 Guest Speaker P61
F-16 Accessibility for Persons with Disabilities P63
F-24 Scholarship Disbursement P65
MINUTES OF THE MEETING
BOARD OF REGENTS
STEPHEN R AUSTIN STATE UNIVERSITY
NACOGDOCHES, TEXAS
OCTOBER 31, 2000
The meeting was called to order at 9:00 a.m. by Chair Jimmy Murphy. Board members
present in Room 307: R. A. Brookshire, Penny Butler, Mike Enoch, Pattye Greer, Gary
Lopez, Susan Roberds, and Mike Wilhite. Absent: Lyn Stevens, who joined the meeting
prior to the executive session at 9:50 a.m.
Others present in Board Room 307: Roland Smith, Janelle Ashley, Baker Pattillo, Scott
Beasley, other SFA administrators, faculty, and staff, and members of the public.
01-01
Upon motion of Regent Roberds, seconded by Regent Greer, with all members voting aye,
it was ordered that the minutes of August 1,2000 and September 26,2000 be approved.
01-02
Upon motion of Regent Wilhite, seconded by Regent Enoch, with all members voting aye, it was
ordered that the following appointments be approved.
1. Admissions
Ms. Lori D. Murphree, Admissions Counselor, B.S. (Stephen F. Austin), at a
salary of $23,200 for 100% time for twelve months, effective September 1,2000.
2. Biology
Ms. Mary E. Garrett, Lab Coordinator, M.S. (Stephen F. Austin), at a salary of
$35,000 for 100% time for nine months, effective September 1, 2000.
3. Communication
Mr. Charles Wells, Lecturer, M.S. (Florida State University), at a salary of
$23,500 for 100% time for nine months, effective September 1,2000.
4. English/Philosophy
Dr. Rachel Jennings, Visiting Assistant Professor, Ph.D. (University of Texas at
Austin), at a salary of $30,000 for 100% time for nine months, effective
September 1,2000.
Dr. Andrew Kaufman, Visiting Assistant Professor, Ph.D. (University of
Toronto), at a salary of $30,000 for 100% time for nine months, effective
September 1, 2000.
Dr. Karen R. Kornweibel, Visiting Assistant Professor, Ph.D. (University of
Texas at Austin), at a salary of $30,000 for 100% time for nine months, effective
September 1,2000.
Mr. Caleb Mason, Visiting Assistant Professor, M.Ph. (Columbia University), at
a salary of $30,000 for 100% time for nine months, effective September 1,2000.
5. Human Services
Dr; Carol Harrison, Visiting Professor, Ed.D. (Texas A&M University), at a
salary,of $37,500 for 100% time for nine months, effective September 1, 2000.
6. Library
Mr. Jeffrey M. Elliott, AARC Assistant Director, M.A. (University of
Tennessee), at a salary of $31,000 for 100% time for ten and one-half months,
effective September 1,2000.
Ms. Mary Elizabeth Pierce, AARC SI Program Director, M.S. (Stephen F.
Austin), at a salary of $30,000 for 100% time for ten and one-half months,
effective September 1,2000.
7. Mathematics and Statistics
Mr. Jesse F. Fagan, Lecturer, M.S. (Texas Tech University), at a salary of
$30,000 for 100% time for nine months, effective September 1, 2000.
Mr. Xiaoxing L. Liu, Lecturer, M.S. (Mississippi State University), at a salary of
$30,000 for 100% time for nine months, effective September 1, 2000.
8. Modern Languages
Dr. Jeana Paul-Urena, Visiting Instructor, Ph.D. (Texas Tech University), at a
salary of $30,000 for 100% time for nine months, effective September 1, 2000.
9. Music
Mr. Christopher M. Anderson, Instructor and Assistant Director of Band, M.M.
(Northwestern University), at a salary of $42,000 for 100% time for nine months,
effective September 1,2000.
Mr. Michael Noel Dean, Instructor, M.M.Ed. (Texas Tech University), at a
salary of $34,000 for 100% time for nine months, effective September 1, 2000.
Dr. Stacie A. Thompson, Visiting Assistant Professor, D.M.A. (Michigan State
University), at a salary of $31,500 for 100% time for nine months, effective
September 1,2000.
10. Nursing
Ms. Karen A. Kincaid, Clinical Instructor, (University of Texas Health Science
Center at San Antonio), at a salary of $40,000 for 100% time for nine months,
effective September 1,2000.
Ms. Claudia Whitlatch, Clinical Instructor, MSN (University of Texas at Austin),
at a salary of $37,000 for 100% time for nine months, effective September 1,
2000.
11. Secondary Education
Dr. C. Michelle Hooper, Assistant Professor, Ph.D. (Oregon State University), at
a salary of $37,000 for 100% time for nine months, effective September 1, 2000.
12. Social Work
Ms. Wilma Cordova, Lecturer, MSW (Michigan State University), at a salary of
$37,000 for 100% time for nine months, effective September 1, 2000.
13. Theatre
Dr. James B. Williams, Visiting Assistant Professor, Ph.D. (Bowling Green State
University), at a salary of $32,500 for 100% time for nine months, effective
September 1,2000.
Mr. Michael W. Wiseman, Technical Director, M.A. (Stephen F. Austin), at a
salary of $28,376 for 100% time for eleven months, effective September 1,2000.
14. Athletics
Mr. Alexander M. Gibby, Assistant Track Coach/Coordinator, at a salary of
$20,000 for 100% time for nine months, effective September 1, 2000.
Mr. Ron Weston McCown, Assistant Track Coach/Instructor, at a salary of
$26,451 for ten and one-half months, effective September 1,2000.
Ms. Heather P. Turnbow, Assistant Softball Coach/Adjunct Faculty, at a salary
of $20,000 for 100% time for ten and one-half months, effective September 1,
2000.
15. Information Technology Services
Mr. Jon A. Armstrong, Assistant Director, at a salary of $59,500 for 100% time
for twelve months, effective August 21,2000.
Ms. Mary T. Joy, Network Support Specialist, at a salary of $26,200 for 100%
time for twelve months, effective July 24,2000.
Ms. Barbara C. Verratti, Programmer Analyst I, at a salary of $27,000 for 100%
time for twelve months, effective September 1,2000.
16. Public Affairs
Mr. William R. Brock, Publications Editor, at a salary of $26,000 for 100% time
for thirteen months, effective July 24, 2000.
17. University Advancement
Ms/Karri E. Davis, Special Programs Coordinator, at a salary of $26,000 for
100% ttime for twelve months, effecive August 7, 2000.
Mr. Adrian C. Matthys, Telemarketing Program Supervisor, at a salary of
$25,000 for 100% time for twelve months, effective August 14,2000.
18. Controller
Ms. Judy Duffin, from Accounting Supervisor, at a salary of $28,100 for 100%
time for twelve months, to Manager, Payroll Services, at a salary of $32,000 for
100% time for twelve months, effective September 11, 2000.
01-03
Upon motion of Regent Roberds, seconded by Regent Greer, with all members voting aye, it was
ordered that the following changes of status be approved.
1. English/Philosophy
Dr. Terry J. Box, from Interim Chair and Professor at a salary of $72,220 for
100% time for eleven months to Professor at a salary of $61,305 for 100% time
for nine months.
2. History
Dr. Robert N. Mathis, from Chair and Professor at a salary of $71,740 for 100%
time for eleven months to Professor at a salary of $60,897 for 100% time for nine
months.
3. Psychology
Dr. Heinz Gaylord, from Chair and Professor at a salary of $85,698 for 100%
time for twelve months to Professor at a salary of $66,684 for 100% time for nine
months.
4. Athletics
Mr. Darren Fort, from Athletic Certification Officer, at a salary of $34,381 for
100% time for twelve months, to Assistant Athletic Director, at a salary of
$44,381 for 100% time for twelve months, effective September 1,2000.
Mr. Philip Olson, from Men's Track Coach/ Instructor, at a salary of $44,979 for
100% time for ten and one-half months, to Head Track Coach/Instructor, at a
salary of $51,998 for 100% time for twelve months, effective September 1,2000.
5. Auxiliary Services
Ms. Shelly S. Lackey, from Manager in Controller's Office, at a salary of $36,528
for 100% time for twelve months to Assistant to Director, Auxiliary Services, at a
salary of $45,000 for 100% time for twelve months, effective August 14, 2000.
6. Seconcjary Education and Educational Leadership
Dr. Buster Duke Brannen, Professor, from retirement to Family Medical Leave
Act at a salary of $50,593, effective August 23, 2000.
01-04
Upon motion of Regent Greer, seconded by Regent Wilhite, with all members voting aye,
it was ordered that It is recommended by the administration that the following retirements
be accepted.
1. Biology
Dr. Jack D. McCuilough, Professor, effective December 31,2000.
2. English/Philosophy
Mr. Richard Lower, Assistant Professor, effective July 5, 2000.
3. General Business
Dr. Donald A. Evans, Professor, effective July 5, 2000.
4. Mathematics
Ms. Jane Ritter, Assistant Professor, effective August 11, 2000.
01-05
Upon motion of Regent Enoch, seconded by Regent Butler, with all members voting aye,
it was ordered that It is recommended by the administration that the following request for
retirement and subsequent modification of employment be approved:
Dr. John P. Harlan, Criminal Justice, effective September 1,2001.
01-06
Upon motion of Regent Lopez, seconded by Regent Roberds, with all members voting
aye, it was ordered that It is recommended by the administration that the Temporary
Employment Services Contract be awarded to Kelly Services.
01-07
Upon motion of Regent Butler, seconded by Regent Wilhite, with all members voting aye,
it was ordered that the Fall 2000 Underenrolled Class List be approved.
01-08
Upon motion of Regent Roberds, seconded by Regent Lopez, with all members voting
aye, it was ordered that It is recommended by the administration that the President or
Interim President of Stephen F. Austin State University be authorized to designate
persons to approve the University's expenditures.
01-09
Upon motion of Regent Roberds, seconded by Regent Greer, with all members voting aye,
it was ordered that It is recommended by the administration that the revenue and
expenditure budgets for Food Services be increased $106,000.
01-10
Upon motion of Regent Roberds, seconded by Regent Butler, with all members voting
aye, it was ordered that approval be given to Bancorp South Fredonia (former Fredonia
Bank) to provide the University's Visa/Mastercard processing services for the period
December 1,2000 through November 30,2001, with four annual renewals, subject to
administrative approval. It is further recommended that approval be given to Discover
Card services to provide the University's Discover Card processing service. The
proposed contract reduces the service fee on transactions from 2.2% to 2.1% and adds a
$0.05 per-transaction fee for Discover Card processing.
01-11
Upon motion of Regent Lopez, seconded by Regent Roberds, with all members voting
aye, it was ordered that approval be given to adjustments to the FY 2001 Budget as
shown in Appendix No. 3.
01-12
Upon motion of Regent Wilhite, seconded by Regent Greer, with all members voting aye,
it was ordered that the University be authorized to make lighting repairs to the Kennedy
Auditorium, at a cost not to exceed $80,000, and that the President be authorized to sign
the necessary contracts or purchase orders. Source of funds: HEAF.
01-13
Upon motion of Regent Wilhite, seconded by Regent Greer, with all members voting aye,
it was ordered that that the University be authorized to make the proposed improvements
at the Poultry Research Center as funds become available, with total cost not to exceed
$50,000.
01-14
Upon motion of Regent Wilhite, seconded by Regent Greer, with all members voting aye,
it was ordered that the University be authorized to replace the air handlers in Hall 10 at a
cost not to exceed $125,000. Source of funds is auxiliary repairs and renovation funds
budgeted for FY-01.
01-15
Upon motion of Regent Wilhite, seconded by Regent Roberds, with all members voting
aye, it was ordered that the University be authorized to purchase the property at 225 East
College pending results of a phase II environmental site assessment. Total cost, including
the property, closing fees, surveys, environmental site assessment, and appraisals are not
to exceed $360,000. The administration is authorized to proceed with the purchase using
the eminent domain process if necessary. Source of funds: HEAP.
01-16
Upon motion of Regent Wilhite, seconded by Regent Butler, with all members voting aye,
it was ordered that approval be given to the University's participation in the NETnet
consortium and that the President be authorized to enter into the finalized ground lease
for construction of the network hub telecommunications tower after review by General
Counsel. Tower site is to be designated by SFA.
01-17
Upon motion,pf Regent Wilhite, seconded by Regent Enoch, with all members voting aye,
it was ordered that authorization be given to enter a request for voluntary annexation of
the Science Research Center property by the City of Nacogdoches and to initiate
discussions with the City for extension of sewer-main service to the property. Any cost
proposal for the sewer main requiring approval by the Board of Regents will be placed on
a future agenda.
01-18
Upon motion of Regent Roberds, seconded by Regent Enoch, with all members voting
aye, it was ordered that the Executive Committee be authorized to approve the private
support organization agreement between the Stephen F. Austin State University Real
Estate Foundation, Inc., and the University when all considerations have been resolved to
the satisfaction of the Executive Committee.
01-19
Upon motion of Regent Roberds, seconded by Regent Lopez, with all members voting
aye, it was ordered that the policy revisions be approved as presented, with the exception
of Policy F-24, Scholarship Disbursement, which was tabled.
REPORTS
A. Dr, Kandy Stahl, Chair, Faculty Senate
B. Interim President, Dr. Roland Smith
The Board entered Executive Session at 9:50 a.m. to discuss the presidential candidates
(Section 551.074), and returned to Open Session at 11:50 a.m.
01-20
Regent Wilhite made a motion for Dr. Nicholas Henry as President. Regent Greer
seconded the motion. Chair Murphy asked for a roll call vote. The votes were as follows:
Susan Roberds, nay; Mike Wilhite, yes; R. A. Brookshire, nay; Mike Enoch, nay; Gary
Lopez, nay; Penny Butler, yes; Lyn Stevens, nay; Pattye Greer, yes.
01-21
Lyn Stevens made a motion for Dr. Charles Scifres as President. Mike Wilhite seconded
the motion. The roll call vote was as follows: Susan Roberds, nay; Mike Wilhite, yes; R.
A. Brookshire, nay; Mike Enoch, nay; Gary Lopez, nay; Penny Butler, nay; Lyn Stevens,
yes; Pattye Greer, nay.
After the vote, Jimmy Murphy read a prepared statement regarding the presidential search
process and resigned as chair and left the meeting. Vice Chair Pattye Greer assumed
responsibility for conducting the meeting.
R. A. Brookshire said he was sorry to see Jimmy Murphy take the action he did. He said
he disagreed with Mr. Murphy's assertion that the Board's vote would set the University
back fifty years or initiate proceedings to move SFA into a system. Mr. Brookshire said
his vote indicated his concern and continued support for the University.
Pattye Greer called the Board into Executive Session to receive legal advice regarding the
selection process (Section 551.071) at 12:30 p.m., and returned to Open Session at 1:10
p.m.
01-22
Susan Roberds made a motion not to accept the resignation of Jimmy Murphy as Chair.
Penny Butler seconded the motion, and the vote was unanimous.
01-23
Lyn Stevens made a motion to amend Section 9 of the Board of Regents Rules and
Regulations. The amendment requires that membership in the Presidential Screening
Committee be selected by a majority vote of the Board of Regents. Mike Enoch seconded
the motion, and the vote was unanimous.
01-24 mj . f
Mike Enoch made a motion to terminate the relationship with the current presidential search
firm, Harold Webb and Associates, and pay all fees and expenses to the firm. Lyn Stevens
seconded the motion. Vote was 6 ayes to 1 nay, with Mr. Wilhite voting nay.
01-25
Gary Lopez made a motion to begin the process to select a new search firm. Susan
Roberds seconded the motion. Vote 6 ayes to 1 nay, with Mr. Wilhite voting nay.
01-26 .
Lyn Stevens made a motion to have a new presidential screening committee as provided
under revised Section 9 of the Regents Rules and Regulations. In his motion, he
nominated Susan Roberds as Chair of the Screening Committee. Mike Enoch seconded the
motion, and the vote was unanimous.
01-27
Lyn Stevens made a motion to empower the chair of the Screening Committee to set the
protocol and provide a time frame for the purpose of selecting members for the Screening
Committee. Gary Lopez seconded the motion. Vote was unanimous.
Mike Wilhite made a motion to adjourn the meeting. Mike Enoch seconded the motion, and
vote was unanimous. Meeting adjourned at 1:45 p.m.
8
1
I
9
Kelly Services has been asked to consider whether any hourly/overtime rates could be reduced
based on SFA pay scale and prior year man hours.
10
PROCEDURES FOR USE AND MONITORING OF
TEMPORARY EMPLOYMENT SERVICES CONTRACT
1. Department faxes the request for a temporary worker to Human Resources and
Purchasing. Physical Plant faxes or calls their requests directly to Kelly Services.
2. Humaii Resources will review and notify Kelly Services and forward the
departmental request.
3. Purchasing will encumber funds. If funds are not available, Purchasing will contact
Financial Services to coordinate the encumbrance. Physical Plant encumbrances and
funding will be established at the beginning of the year.
4. Kelly Services will provide the temporary worker.
5. Kelly Services will provide, to Human Resources and Purchasing, monthly reports of
man hours worked by department and position, including Physical Plant positions.
11
RFP #CCMS00-01
OPENING DATE 10/3/00
V/M - VISA/MASTERCARD
$ amt/# of
transactions Sep
99-Aug 00
PACKAGED RATE
Make Good funds in 2 days
V/M Discount Fees
Transaction Fees
$9,805,557.08
41227
One time Set Up Fee for all locations:
One time Reprogramming Fee:
GRAND TOTAL EVALUATION:
?. Bancorp South Fredonia
3 RFP recfd 10/3/00
|10:13am
c HSP enclosed
2.10% $205,916.70 ;
N/C;
$205,916.70
American Express
. RFP rec'd 10/2/00
:11:56am
No HSP
" Recommends the University /
: enter into a direct contractual
■'■ arrangement with AmEx by ;
; signing a -participation I
agreement" to participate in
the card acceptance ;
; agreement AmEx recently
■'. entered into with the State ;
of Texas.
$27,558.11
$2,759.00
$30,317.11
L $236,233.81
* See response from Discover for discount fee.
*♦ The qty of Discover transactions is
estimated based on the total Discover dollars
divided by the average transaction amount
■ Regions Bank
? RFP rec'd 10/3/00
10:43am
•NO PROPOSAL
i Not compatible with
MAPP software
'■: driver for voice
system.
; Bank of America
' RFP rec'd 10/3/00
11:48am
Incomplete HSP
PROPOSAL NOT
CONSIDERED
-LATE
• -INCOMPLETE HSP
NDC
RFP rec'd 10/3/00
11:07am
- PROPOSAL NOT
'-CONSIDERED
. -LATE
^Bancorp South reserved the right
:<! to review and adjust discount J
:$, rates if MC or VISA raise £*
p interchange fees. :
% Bancorp's First Data Corporation ^
|$ connection can be certified to %
^support the Brite-Voice response;;.
SI system by 12/1 /00 contingent i
i'^l on the acceptance of their ; j
??■§ proposal. Delays in notification $
ff to Bancorp South could result in -^
S: extension of the certification S
i£ for the Voice system. $;
Two additional vendors, Lease Funded
Corporation and Merchant Net responded by
phone that they would not respond to the RFP
because they felt that it did not provide a
complete picture of our needs or what they
could provide. Both companies offered to
visit the University and offer suggestions for
an RFP format to provide a complete payments
solution. Due to the need to have a contract
in place by 11/30/00 and compatible with
existing payment transactions, the Controller
and Director of Purchasing believe that the
best value is represented by making a one
year award at this time and requesting both
of these companies to visit the campus and
make recommendations in February or March,
2001.
Discover Financial
Services
RFP rec'd 10/4/00
11:30am
• RECEIVED LATE
, Not a proposal, but
rather a letter offering
a 2.10% discount rate
to the University for
one year from the
award of the contract
to the successful
bidder.
Lease Funded Corporation
John Winsky
877-377-4680
MerchantNet
Catherine Jones
903-764-2932
O
3
to
Appendix No. 3
Stephen F. Austin State University
Tuition and Fee Shortfall
October 31,2000
Education and General Funds
Budgeted Income
Tuition Income Revenue Shortfall
Budgeted Expenditures
Solution:
s Reduce General Contingency
Reduce TPEG Transfer
Reduce Skiles Transfer
Reduce Salary Savings
Total E&G Funds Budget Reduction
Designated Funds
Budgeted Income
Designated Income Revenue Shortfall
Budgeted Expenditures
Solution:
Reduce Designated Contingency
Reduce Designated Fund Balance
Total Designated Funds Budget Reduction
Non Pledged Auxiliary Funds
Student Service Fee Income Shortfall
Solution:
Reduce Designated Fund Balance
Total Budgeted Expenditure Reduction
(450,090)
(100,000)
(75,843)
(5,130)
(269,117)
(450,090)
(501,953)
(100,000)
(401,953)
(501,953)
(83,804)
(83,804)
(1,035,847)
13
Appendix No. 4
STEPHEN F. AUSTIN STATE UNIVERSITY
SCHEDULE OF BUDGET INCREASES
July 8,2000 through August 31, 2000
ACTIVITY RECIPIENT TRANSFER SOURCE
14
Appendix No. 5
GROUND LEASE WITH AMERICAN TOWER, L.P.
FOR NETnet PROJECT
What Is NETnet?
NETnet is a multi-institutional consortium in Northeast Texas which has agreed
to establish a wireless communications network for distance education with an
estimated $4 million appropriations from the Texas Legislature, managed by the
University of Texas Health Science Center at Tyler (HCT). NETnet and HCT
have contracted with Southwestern Bell to build and coordinate the network.
There will be three Hub sites for the network, HCT, SFA and Texas A&M
Commerce, at which radio towers would be built.
What is SFA's commitment?
Essentially, SFA would commit to a 10-year land lease, with three automatic ten-year
renewals (40 years total), with American Tower, L.P. (ATC). Location of the
tower would be mutually agreed upon between ATC, SFA, and HCT.
I. Network Agreement Basics
1. SFA lease of real property to ATC.
2. Tower facility licenses to: First Carrier is HCT for NETnet, Second Carrier
is SFA, all other space to private sector.
3. Second Carrier space to SFA is free, so long as private sector licensee
not available. If space is rented, the SFA has right of first refusal to rent it
or get bumped down or off the tower. Rental is $1,500 per month
minimum, with 4% annual adjustment. Second Carrier space cannot be
used by SFA to compete with private sector.
4. Compensation: First Carrier license of space to NETnet is free. If NETnet
ceases, SFA may assume First Carrier Space for free, if ATC doesn't
terminate contracts. Second Carrier space is free to SFA, so long as it is
not otherwise rented to the private sector. ATC will share rental profits
with NETnet after,reaching a threshold on return of assets. If NETnet
ceases, SFA gets frrst Carrier space free, but no sharing of rental profits.
(Negotiation pending.) ATC would have to pay $3,000 per year to
maintain ground lease should NETnet cease.
15
5. Miscellaneous terms:
• SFA ground lease cannot be terminated without HCT's consent,
due to NETnet
• HCT can cure any SFA default on behalf of NETnet, and SFA
designates HCT as attomey-in-fact to effectuate such cures.
(Negotiation pending).
• Remedies limited for all parties.
II. Lease Agreement to ATC
1. * Up to 40 year term with ATC.
2. SFA cannot permit interference: VA miles from Lease premise cannot
build communications facility or structure greater than 50 feet, unless SFA
pays cost of effectuating modification to prevent interference.
3. ATC to carry $1 million general liability insurance, with SFA as additional
insured. Parties waive right to subrogation.
III. Second Carrier License Agreement from ATC
1. Month to month license/ten year and three renewals?
2. SFA must provide As-Built drawings for equipment installation, or pay
$5,000 to ATC to do them.
3. SFA to pay $2,500 site inspection fee.
4. SFA to pay pro-rata share of common expense, maintenance, utilities, etc.
5. SFA to pay installation cost to ATC.
6. SFA to pay damages caused by SFA employees, contractors, etc.
7. SFA to pay for structural analysis if needed.
8. SFA to pay for inter-modulation study if required.
9. SFA to pay for cost of eliminating any interference we cause.
10. SFA must have $5 million liability insurance or self-insure. (Requested
change to $1 million.)
11 SFA to pay $1,500 per month minimum second carrier rental fee, if private
sector wants to rent the space.
16
Appendix No. 6
AGREEMENT BETWEEN
STEPHEN F. AUSTIN STATE UNIVERSITY
AND
THE STEPHEN F. AUSTIN STATE UNIVERSITY REAL ESTATE FOUNDATION, INC.
.1. PARTIES
1.1 Stephen F. Austin State University (the "University") is an agency of the State of Texas,
organized and existing under Chapter 101, Texas Education Code, as an institution of higher
education located in Nacogdoches, Texas. The governing body of the University is the Board of
Regents (collectively, the "Regents").
1.2 The Stephen F. Austin State University Real Estate Foundation, Inc. (the "Foundation") is a non
profit corporation under the laws of the State of Texas for the sole purpose of supporting the
mission of the University. The governing body of the Foundation is its Board of Trustees
(collectively, the "Trustees").
2. PURPOSE
2.1 The Foundation is a private support organization as defined in Chapter 2255 of the Texas
Government Code.
2.2 The University is a state agency as defined in Chapter 2255 of the Texas Government Code.
2.3 The parties are entering into this agreement for the purpose of defining the relationship between
them pursuant to Chapter 2255 of the Texas Government Code, and to implement the policy (D-
25.5) of the Regents governing the University's relationship with private support organizations.
2.4 While this agreement is in effect, the University recognizes the Foundation as existing solely for
the support of the University. The parties agree that the Foundation is a necessary and beneficial
component of the University's overall program for university advancement and for the
development of private sources of funding for capital acquisition, operations, endowments, and
other purposes relating to the mission of the University.
17
Agreement between
Stephen F. Austin State University and
The Stephen F. Austin State University Real Estate Foundation, Inc.
Page 2
3. TERM
3.1 Provided the Foundation has first executed this agreement, this agreement is effective upon its
approval by the Regents.
3.2 This agreement will continue in effect until terminated. Either party may terminate this
agreement by giving ninety days' written notice to the other party.
4. ORGANIZATION OF THE FOUNDATION
4.1 The direction and management of the affairs of the Foundation and the control and disposition of
its assets shall be vested in a Board of Trustees which shall consist of not less than three (3)
persons and not more than nine (9) persons.
4.2 The President of the University may serve as an ex officio, non-voting member of the Board of
Trustees.
4.3 The officers of the Foundation shall be a Chair and a Secretary.
4.4 The Vice President for University Advancement of the University shall serve as the Executive
Director of the Foundation pursuant to the bylaws of the Foundation and the direction of the
Trustees.
5. USE OF UNIVERSITY PERSONNEL AND SPACE BY THE FOUNDATION
5.1 The University shall provide personnel as necessary in the determination of the President of the
University for the support of the Foundation's business activities.
5.2 The University shall provide office space, equipment, and supplies as necessary in the
determination of the President of the University for the Foundation to carry out its
responsibilities and activities.
18
Agreement between .
Stephen F. Austin State University and
The Stephen F. Austin State University Real Estate Foundation, Inc.
Page 3
5.3 The personnel services, office space, equipment, and supplies provided by the University under
this agreement shall be made without charge to the Foundation.
5.4 However, since all funds of the Foundation are transferred to the SFASU Foundation, Inc., there
will be no compensation of University personnel for their services to the Foundation. Such
compensation, if any, shall be provided by the SFASU Foundation, Inc. and will be reported in
detail to the President of the University and the Board of Regents, and shall comply with all
applicable laws and University policies.
5.5 Any conflict between University employees' fiduciary responsibilities to either the University or
the Foundation will be resolved in favor of the University.
6. FOUNDATION INVESTMENTS AND RECORD-KEEPING
6.1 All funds belonging or entrusted to the Foundation will be promptly transferred to the Stephen F.
Austin State University Foundation for the benefit of Stephen F. Austin State University in
accordance with the general or specific purposes stipulated by the donors, grantors or testators or,
in the absence of such stipulations, for such uses as may be determined by the Foundation's
Board of Trustees.
7. FUND RAISING EFFORTS OF THE FOUNDATION
7.1 The coordination of the Foundation's activities shall be through the Vice President for University
Advancement/Executive Director reporting to the President of the University.
19
Agreement between
Stephen F. Austin State University and
The Stephen F. Austin State University Real Estate Foundation, Inc.
Page 4
7.2 The Real Estate Foundation is authorized to do the following:
1. To advance education through financial support of Stephen F. Austin State University,
including all of its branches, departments, schools, colleges, and component institutions, by the
improvement of its research, teaching, scholarship, and facilities, including informational or
educational seminars, projects, or programs which may be independently funded or organized,
providing that all such projects or programs benefit the educational goals of Stephen F. Austin
State University.
2. To receive, hold, manage and control property, whether real, personal or mixed, acquired
by the Corporation by donation, gift, grant, devise, bequest, purchase or other means.
3. To transfer or use all or any part of the corpus or income for the benefit of Stephen F.
Austin State University in accordance with the general or specific purposes stipulated by the
donors, grantors or testators or, in the absence of such stipulations, for such uses as may be
determined by the Board of Trustees.
7.3 The Office of University Advancement shall maintain all donor lists, files, and gift records, and
will coordinate all donor recognition activities.
President Date
Stephen F, Austin State University
Chairman Date
Stephen F. Austin State University Real Estate Foundation, Inc.
20
Private Support Organizations or Donors D-25.5
Original Implementation: July 9,1991
Last Revision: January 19, 1999
Pursuant to Chapter 2255 of the Texas Government Code, the University will recognize
only those private support organizations that meet the requirements of this policy as
being formed and designated to further the purposes and duties of the University.
Any organization or donor (whether existing as a corporation or as an unincorporated
association) which is formed to further the purposes and duties of the University must
enter into a written agreement with the University, approved by the Board. If the Board
declines to enter into such an agreement, the private support organization or donor is
deemed not to further the purposes and duties of the University, and the Board expressly
forbids the use of the name, property, or employees of the University in any actions or
activities br> the part of the private support organization or donor. The agreement will
address and govern all aspects of conduct of the University and its employees in the
relationship between the private support organization or donor and the University and its
employees including, but not limited to, the following:
A. Administration and investment of funds received by the organization for the
benefit of the University;
B. Use of an employee or property of the University by the donor or organization;
C. Service by an officer or employee of the University as an officer or director of the
donor or organization; and
D. Monetary enrichment of an officer or employee of the University by the donor or
organization;
Nothing in this policy requires that the University include only the above provisions as
subject matter in the agreement between the University and the private support
organization or donor. The Board has the responsibility to enter into that form of
agreement which the Board, in the exercise of its statutory authority, determines is in the
best interest of the University.
Neither this policy nor any agreement entered into by the University may conflict or
supersede a requirement of a state or federal statute regulating the conduct of a University
employee or regulating the policies and procedures of the University.
Source of Authority: Board of Regents
Cross Reference: None
Contact for Revision: President
Forms: None
21
Appendix No. 7
Policies for Board Review
October 31,2000
22
Academic Advising for Undergraduate Students New
Original Implementation: October 31, 2000
Academic colleges, schools and departments should provide all their undergraduate students, both
full-time and part-time, with a systematic, effective advising program. All students who are
required and those who choose to be advised prior to every registration period are to be advised
individually according to the following guidelines:
• all students with fewer than 61 earned hours of credit and all students on academic probation
must be advised prior to each registration period by which time the student should have on
file an official degree plan;
• students with more than 61 earned hours of credit must be advised on an annual basis and
may be advised more frequently if desired;
• individual Colleges may specify additional requirements of students for mandatory advising
by working with the office of Information Technology Services to implement additional
registration holds;
• the advising process includes releasing the hold that will allow the student to register.
Each academic unit responsible for advising students must have an appropriate number of
advisors available daily during the specified dates for advising prior to each registration period.
The responsibility of the advisor will include but may not be limited to:
• advising the student on degree requirements such as core, major or other required courses,
proper sequencing of courses, minimum credit hours, minimum grade-point averages, removal
of withheld grades and time limits for completion of degree programs;
• advising the student on University requirements such as minimum course load to be classified
as a full-time student, impact of repeat courses on grade point average, timetable for dropping
individual courses and the impact on grade point average, residency requirements;
• assisting the student with the process of applying for graduation.
Academic advising programs for undergraduate students must be appropriately evaluated and
included in the annual unit assessment report, including information on how the results of the
assessment will be used to enhance effective assistance to students.
Source of Authority: Vice President for Academic Affairs
Cross Reference: Current General Bulletin, Student Handbook.
Contact for Revision: Vice President for Academic Affairs
Forms: None
PI
Allocation of Information Technology Resources
Original Implementation: October 31, 2000
Last Revision: None
New
RESOURCE ALLOCATION
The allocation of Information Technology Resources is consistent with the University's
strategic plan as submitted to the State of Texas Legislative Budgeting Office every
biennium. Within the strategic plan is a separate appendix for Information Resource (IR)
goals, objectives, and action items for the next five years. These items are updated every
biennium and are consistent with the institution's purpose and goals.
Three organizational entities are responsible for executing the IR Strategic Plan:
Information Technology Services (IS), Office of Instructional Technology (OIT), and the
University Library. These three entities provide central IR services for the campus. The
following chart displays the organization and functional responsibilities for these IR
services. -<
President |
V.P. University
Affairs
V.P. Academic Affairs
Academic
Technology
Committee
1
Library
Campus Webmaster
Commercial Electronic
Information Resources
Instructional Research
Support
Faculty Research Support
Distance Learning Library
Coordination (including
Internet)
Electronic Resource-
Based Instruction
Records Retention
Management
Student Help Desk
V. P. Advancement
V.P. Business Affairs
Computing
Telecommunications
Advisory Committee
1
Office of
Instructional
Technology
Coordination of:
Distance Education
Distributed Learning
Environments
Technology Research and
Development
Faculty Training/Consultation
University
Information
Systems
Help Desk (Faculty and Staff)
Personal Computer Repair
Administrative Systems
Telecommunications (Voice)
Networking (Data and Video)
Central Host Systems and
Server Components
P2
The remaining IR responsibility is with the seven colleges and respective deans. Each
college is responsible for offering state-of-the-art computer labs and faculty desktop
computing and for providing technical support for hardware and software resources.
Allocation of information technology resources is aligned with implementation of
institutional goals, objectives, and strategies.
The following table summarizes the physical electronic environment consisting of SFA
hardware platforms, operating systems and database management systems.
SFA Platforms. Systems, and Telecommunications
Source of Authority: President
Cross Reference: None
Contact for Revision: Vice President for Business Affairs
Forms for Implementation: None
P3
File Maintenance for Faculty Personnel Files New
Original Implementation: October 31,2000
Last Revision: None
The Southern Association of Colleges and Schools requires that the university keep on file for
all full-time and part-time faculty members documentation of academic preparation including
official transcripts, and, if appropriate for demonstrating competency, official documentation
of professional and work experience, technical and performance competency, records of
publications, certifications and other qualifications. To meet that requirement, the following
guidelines have been established which address the contents of the file as well as the
designated place for maintaining the file.
Filed in Office of Vice President for Academic Affairs:
I. Tenured/Tenure Track Faculty: Professor, Associate Professor, Assistant
Professor, Instructor, Librarian I, II, III or IV - 9 month, 100% time, tenure
track
1) Personnel Action Request form (green copy)
2) Recommendation for Appointment form
3) Signed contract issued by VPAA office
4) Post-hire form
5) Official transcripts from all degree granting institutions attended
6) Three letters of reference
H. Visiting (Rank), Lecturer, Librarian I-T, II-T, III-T, or IV-T, Designated
(full-time) - 9 month, 100% time, non-tenure track
1) Personnel Action Request form (green copy)
2) Recommendation for Appointment form
3) Signed contract issued by VPAA office
4) Post-hire form
5) Official transcripts from all degree granting institutions attended
6) Three letters of reference
Filed in Office of Dean:
L Adjunct, Designated (part-time) - 4.5 to 9 months, less than 100% time, non
tenure track
1) Personnel Action Request form (blue copy)
2) Signed contract issued by Dean's office
3) Post-hire form
4) Official transcripts from all degree granting institutions attended
5) Three letters of reference
P4
n. Graduate Teaching Assistant - Enrolled graduate student, 50% time or less, non
tenure track
1) Personnel Action Request form (blue copy)
2) Signed contract issued by Dean's office
3) Post-hire form
4) Official transcripts from all degree granting institutions attended
5) Three letters of reference
Note: See Policy E-IA, Academic Appointments and Titles, for definition of titles.
Source of Authority: Vice President for Academic Affairs
Cross Reference: Policy and Procedure Manual, Faculty Handbook
Contact for Revision: Vice President for Academic Affairs
Forms: None
P5
Graduate Student Orientation and Advisement New
Original Implementation: October 31,2000
Last Revision: None
Academic departments offering graduate programs should provide all of their graduate students,
both full-time and part-time, with a systematic, effective program of orientation and academic
advising. All students are to be assigned a graduate faculty member as an advisor to direct the
student during his or her program of studies. The responsibility of the advisor will include but
may not be limited to:
• providing or arranging for an orientation to departmental organization, administration, key
personnel, facilities and procedures;
• directing the student to University resources, guidelines, procedures, and policies which
may affect the student's graduate experience;
• informing the student of the program's relationship to the college, university, and external
agencies;
• providing an orientation to the registration process, including dates, procedures, early
registration, restrictions, and other information;
• advising the student on degree requirements such as core or required courses, proper
sequencing of courses, minimum credit hours, minimum grade-point averages, removal of
withheld grades, thesis vs. non-thesis option, transfer courses, and time limits for completion
of degree programs;
• advising the student on Graduate School requirements such as admission to candidacy,
maintaining good academic standing in the Graduate School, comprehensive examinations,
thesis approval procedures, thesis/exhibition/dissertation examinations, and policies and
procedures relevant to taking (and retaking) comprehensive or thesis examinations;
• providing the student with an explanation of academic honesty in the classroom and in
research;
• advising the student on his or her rights and responsibilities and pointing out the process of
appealing decisions and/or the actions of others; and
• assisting the student with the process of applying for graduation and completing all
documentation required for graduation.
Departmental orientation and advising programs must be appropriately evaluated and included in
the annual departmental assessment report, including information on how the results of the
assessment will be used to enhance effective assistance to students.
Source of Authority: Vice President for Academic Affairs
Cross Reference: Current Graduate Bulletin, Graduate Student Handbook, Student Handbook.
Contact for Revision: Associate Vice President for Graduate Studies and Research
Forms: None
P6
Travel New
Original Implementation: October 31,2000
Last Revision: None
Applicability
This policy applies to employees and prospective employees traveling in a University
capacity except members of the Board of Regents and the President, who are exempt, and
intercollegiate athletics. All policies, rules, and regulations related to travel on behalf of,
or in connection with, intercollegiate athletics are included in the current issue of the
Intercollegiate Athletics Policy Manual
The travel regulations contained in this policy apply to all University funds. The
reimbursement limits established by this policy may be exceeded only if funds are
available in* and the additional costs are charged to, a discretionary account controlled by
the budget manager authorizing the additional expenditure. For this policy, discretionary
funds shall be defined as specified accounts established for the sole purpose of
discretionary use.
General Travel Regulations
The State of Texas Travel Allowance Guide is the authoritative document regarding travel
rules and regulations. The Guide is located in the Controller's Office and at
http://www.sfasu.edu/controller/travindex.html.
Employees, and others traveling on behalf of the University, are not reimbursed on a flat
per diem basis. Instead, they are reimbursed for actual meal and lodging expenses,
subject to the provisions of this policy.
Travel Request
Except as stated in the Applicability section of this policy, anyone traveling on University
business must obtain permission in advance of the trip. A Travel Request form (available
from University Printing Services and at http://www.sfasu.edu/controller/travindex.htmD
must be submitted and approved at all applicable levels, as indicated on the form,
whether or not expenses will be incurred. All expenses to be paid or reimbursed by the
University are to be reflected on the Travel Request, regardless of whether they are to be
prepaid. A Travel Request is not required for prospective employees.
The Controller's Office uses the Travel Request to encumber funds against the
appropriate account(s). The Travel Request will be approved by the Controller's Office
only when account balances are sufficient to cover the total estimated cost of the trip.
Travel to Washington, D.C.
Before traveling to Washington, D. C, an employee shall inform the Texas Office of
State-Federal Relations about the timing and purpose of the trip, and provide the office
with the name of a person who may be contacted for additional information about the
trip. A completed form, Report for State Agency Travel to Washington, D. C. (available
at http://www.sfasu.edu/controller/travindex.html\ will meet this requirement.
P7
Foreign Travel
Official University business travel to any foreign country other than Canada or Mexico
requires advance written approval from the University's President. Additionally, travel
to any foreign country other than Canada or Mexico with the use of Educational and
General (E&G) funds (account numbers 1-XXXXX) requires advance written approval
from the Governor of Texas. The traveler must request approval from the Governor at
least 30 days prior to departure. This request is made by completing a Request for
Governor's Approval for State Employees Traveling to Foreign Countries form (available
at http://www.sfasu.edu/controller/travindex.htmn. To be considered for approval,
foreign travel must be directly related to the University's mission and must require a duty
that cannot be performed without the travel.
A completed Travel Request form (available from University Printing Services and at
http://www.sfasu.edu/controller/travindex.html) must be routed through the appropriate
administrative channels in sufficient time to be approved by the President prior to the
date of departure. When required, a copy of the Governor's approval must be attached to
the Travel Request when it is initially submitted to the President.
Charge Card for Travel Expenses
A Bank of America individual corporate charge card is available for eligible employees
who wish to charge travel expenses. In order to apply, the employee must take, or expect
to take, three (3) or more business trips per fiscal year, or expend at least $500 per fiscal
year for official State business.
The State-issued Bank of America individual corporate charge card is to be used for
business-related charges only while traveling on official State business. Use of the card
for personal business is considered a violation of State policy and the employee may be
subject to disciplinary action. The individual whose name appears on the card is solely
responsible for payment of the account. If the card is suspended or cancelled for misuse
or nonpayment, the employee will be ineligible for travel advances from the University.
An employee is not required to accept a State-issued charge card. However, all airfare
to be paid from Educational and General (E&G) accounts (account numbers 1-
XXXXX) must be charged to one of the State's contract charge accounts: either the
State-issued individual corporate charge card or the University's charge card
(Airfare Billing Form, available from University Printing Services). No payment can be
made from E&G accounts unless airfare is purchased by one of these two methods.
If the application is approved by Bank of America, the employee agrees to be bound by
the Corporate Card and Commercial Card Cardmember Agreement which will be sent
with each card. Additionally, the employee agrees to be bound by the State policies
governing the use of the Card. Applications and further information concerning this
program are available in the Controller's Office or at
http://www.sfasu.edu/controller/travindex.html. The application must be signed by the
employee, the employee's supervisor, and the travel manager in the Controller's Office.
P8
Advance Travel Funds
Advance travel funds are available for employees who wish to obtain money in advance
of the trip. These funds may be requested on the Travel Request for: (1) employees
ineligible for the Bank of America individual corporate charge card, (2) group travel, or
(3) travel with particularly unusual circumstances (reason must be specified on the Travel
Request form). The minimum amount of advance funds that can be obtained is $100.
The Travel Request should be received by the Controller's Office at least five (5)
working days prior to departure. Generally, the requested funds will be available at the
University Business Office at least one working day prior to departure. Advance travel
funds will be issued by a check made payable to the individual requesting the funds. As a
condition of receiving advance travel funds, the employee agrees to refund any excess
(amount advanced less documented eligible expenditures on the Travel Voucher) within
30 days from the ending date of the trip.
An advance travel check will only be issued prior to the trip. No advancement is
authorized if the trip has already occurred. The traveler should submit a Travel Voucher
for reimbursement subsequent to the trip.
Travel Voucher (Travel Expense Documentation and Reimbursement)
In order to receive reimbursement, travel expenditures must be documented on a Travel
Voucher (available from University Printing Services and at
http://www.sfasu.edu/controller/travindex.htmn signed by the traveler and the account
manager. The Travel Voucher must reflect the total actual reimbursable expenses of the
trip, regardless of whether advance travel funds were received. Receipts are required
for most travel expenses (see applicable section of this policy for specific details),
except meals. Meal receipts are required only in the case of group travel.
The Travel Voucher should be submitted, with receipts attached, to the Controller's
Office within 30 days from the ending date of the trip. No reimbursements will be
made and all encumbrances will be cancelled 30 days after the end of the fiscal yean
The State of Texas Travel Allowance Guide can be useful in the completion of Travel
Vouchers. It provides comprehensive information on travel procedures and the proper
classification of travel related expenditures. A current copy of the Guide is available in
the Controller's Office or at http://www.sfasu.edu/controller/travindex.html.
Foreign Currency Conversion
All amounts listed on the Travel Voucher must be converted to U.S. dollars using the rate
applicable on the date of the expenditure. A foreign currency conversion table is
available at http://www.sfasu.edu/controller/travindex.html. Documentation of the
conversion calculation must be attached to the Travel Voucher.
P9
Reimbursement Rates - Lodging
Reimbursement may not exceed the amount of lodging expenses actually incurred at a
commercial lodging establishment, subject to maximum allowances stated below. The
original itemized lodging receipt, attached to the Travel Voucher, is required.
The State Travel Management Program of the General Services Commission has
contracted with several commercial lodging establishments for special rates. The
contracted vendors and rates are listed in the Texas State Travel Directory, which is
distributed to each department. Employees are encouraged to utilize the contracted
vendors when possible.
In-State
Travelers may be reimbursed for the actual cost of lodging, not to exceed seventy dollars
($70) per day. Additionally, they may be reimbursed for local taxes on the allowable
lodging cost. State tax on in-state lodging will not be reimbursed to State employees.
Instead, State employees must submit a completed Texas Hotel Occupancy Tax
Exemption Certificate (available from University Printing Services and at
http://www.sfasu.edu/controller/travindex.htmn to commercial lodging establishments at
check-in. Employees should also be prepared to show proof of State employment.
Out-of-State
The maximum reimbursement rates for out-of-state lodging are provided by the Texas
State Comptroller. A list of the rates, which is updated from time to time, is available at
http://www.sfasu.edu/controller/travindex.html. Within the continental United States,
lodging reimbursement is limited to the locality-based allowance as stated on the list. For
cities and counties not included on the list, the allowance is the median rate established in
that state for lodging. Applicable taxes on the allowable lodging costs may also be
reimbursed. Travelers to Alaska, Hawaii, or a. foreign country may be reimbursed for
actual, reasonable costs.
If the actual cost of lodging exceeds a locality's lodging allowance, an employee may
reduce the maximum meal reimbursement rate for that locality and use the reduction to
increase the lodging reimbursement rate for that locality. No such adjustment can be
made to increase the maximum meal reimbursement rate.
Shared Lodging
When two or more employees share lodging, each employee must pay and claim their
prorated share of the cost. The University will reimburse each employee his share of the
lodging expense, not to exceed the applicable maximum lodging reimbursement rate. A
list of names of those sharing the same room should be attached to each Travel Voucher.
P10
If only one of the individuals sharing lodging is an employee, then the amount that the
employee may be reimbursed for lodging expenses is the lesser of the single occupancy
room rate or the maximum lodging reimbursement rate.
Reimbursement Rates - Meals
Employees may be reimbursed for meal expenditures while away from campus if the
travel requires them to be at least 25 miles from the University for at least six (6)
consecutive hours during the calendar day. Meals are reimbursed at the lower of actual
cost or the following meal allowances:
IN-STATE *OUT-OF-STATE
Breakfast $ 4.25 17% of locality-based allowance
Luncfi $8.25 33% of locality-based allowance
Dinner $ 12.50 50% of locality-based allowance
Total $25.00
• Within the continental United States, meal reimbursement is limited to the locality-based
allowance (list available at http://www.sfasu.edu/controller/travindex.htmn
provided by the Texas State Comptroller. For cities and counties not included on the list,
the allowance is the median rate established in that state for meals. Travelers to Alaska,
Hawaii, or a foreign country may be reimbursed for actual, reasonable costs.
The following timetable indicates which meals are reimbursable:
Breakfast Travel includes 8:00 a.m. or before
Lunch Travel includes 11:30 a.m. - 1:30 p.m.
Dinner Travel includes 6:00 p.m. and after
Actual meal expenses without overnight stay are reimbursable, not to exceed the in-state
rates listed above, regardless of the travel location. Internal Revenue Service rules
(Publication 463) state "y°u cannot deduct the cost of meals if it is not necessary for you
to stop for sleep or rest to properly perform your duties." Therefore, all reimbursement
for meals without overnight stay is taxable to the employee. The reimbursement will
be paid monthly in the employee's regular payroll check, and taxes will be withheld.
Additional guidelines for meal reimbursement:
• Some registration fees include meals. In this case, the registration fee is fully
reimbursable but no additional amount can be claimed for the included meals.
• Meals purchased for the traveler by another person are not reimbursable.
• In the case of employees traveling together, each must pay and claim their prorated
share.
• Tips, gratuities, and alcoholic beverages are not reimbursable.
• Meal receipts are not required, except for group travel.
Pll
Reimbursement Rates - Mileage
The number of reimbursable miles traveled by an employee may not exceed the number
of miles of the most cost-effective route. The shortest route between points, including the
use of all farm-to-market roads, is presumed to be the most cost-effective route. The
Texas Comptroller of Public Accounts Mileage Guide (available at
http://www.sfasu.edu/controller/travindex.html) calculates the mileage between two
locations. When both locations are in the Mileage Guide database, the employee may be
reimbursed for either the number of miles (1) calculated by the Mileage Guide or (2)
calculated from the employee's odometer. When one or both locations are not in the
Mileage Guide database, the number of reimbursable miles is calculated from the
employee's odometer. Mileage determined by use of the employee's odometer must be
itemized on a point-to-point basis on the Travel Voucher. Any vicinity mileage at the
destination location must also be itemized separately on a point-to-point basis. For the
purposes of this paragraph, "point" means a building, house, highway intersection, or
other similarly-localized spot.
The reimbursement rate for use of an employee's personal vehicle is established by the
State legislature. That rate is specified in the State of Texas Travel Allowance Guide
(available in the Controller's Office or at http://www.sfasu.edu/controller/travindex.html)
or as updated by the Texas State Comptroller.
Four-Per-Car-Rule
Coordination of travel must occur when two, three, or four employees travel on the same
dates with the same itinerary to conduct the same official State business. When
coordination of travel is required, only one employee may be reimbursed for mileage.
Reimbursement Rates - When Representing the University President
If the President is unable to attend a meeting or conference, the President may designate,
on an individual trip basis, one employee as a representative to travel. Under this
provision, the employee is reimbursed for actual expenses, not to exceed twice the
maximum allowance rates for lodging and meals specified by this policy. The Travel
Voucher must be accompanied by the original designating document from the President.
Receipts are required as specified in this policy.
Registration Fees
The registration fee for attendance at a professional meeting is reimbursable if the fee
was approved on the Travel Request. The fee must be shown as a miscellaneous expense
on the Travel Voucher, with the original receipt attached.
Attendance at in-town conferences does not require a Travel Request. Employees may be
reimbursed for in-town registration fees by submitting a completed Travel Voucher, as
they would for any other travel reimbursement. The description should indicate that the
conference was in Nacogdoches.
P12
Some registration fees include meals. In this case, the registration fee is folly
reimbursable but no additional amount can be claimed for the included meals.
Prepayment of Registration Fees by University
When requested, the University will prepay the registration fee for official business
conferences and seminars. If the meeting is being held out-of-town, the employee must
first obtain approval to travel by isubmitting a Travel Request showing the registration fee
as an estimated cost of the trip. Additionally, a completed Purchase Voucher (available
from University Printing Services and at http://www.sfasu.edu/controller/travindex.htmD
and registration form must be submitted to the Controller's Office well in advance of the
payment due date.
Airline Ticket Purchases
Any airline ticket expense, whether to be prepaid or reimbursed, must be listed on the
approved Travel Request. All airfare to be paid from Educational and General
(E&G) accounts (account numbers 1-XXXXX) must be charged to one of the State's
contract charge accounts: either the state-issued individual corporate charge card
or the University's charge card (Airfare Billing Form, available from University
Printing Services). No payment can be made from E&G accounts unless airfare is
purchased by one of these two methods.
The State Travel Management Program of the General Services Commission has
contracted with several airlines to provide special airfare rates for certain flights.
University employees traveling on official State business are encouraged to use these
contracted rates when possible. A listing of the flights and rates is available at
http://www.sfasu.edu/controller/travindex.html.
An employee who wishes to charge an airline ticket directly to the University must
submit an Airfare Billing Form (available from University Printing Services) to the
Controller's Office. After approval, the employee must present the signed form to a local
participating travel agency (list available at
http://www.sfasu.edu/controller/travindex.html. The travel agency will book the flight
and charge the expense to the University rather than to the employee.
The original receipt, attached to the Travel Voucher, is required for airline ticket
reimbursement. Airline ticket reimbursement to the employee will be made only
after completion of the travel. The University cannot reimburse an employee for the
cost of air transportation by a person who is not a commercial transportation company.
Motor Vehicle Rentals
If approved on the Travel Request, most expenses of renting a motor vehicle are
reimbursable. The daily rate, applicable taxes, and other mandatory charges are
reimbursable. An additional driver charge is reimbursable if it is incurred for an official
State business reason. Also, collision damage waiver and loss damage waiver expenses
are reimbursable if they are not already included in the contracted rate (see next
P13
paragraph). The following expenses are not reimbursable: liability insurance
supplement; personal accident insurance; safe trip insurance; personal effects insurance.
The State Travel Management Program of the General Services Commission has
contracted with several vehicle rental agencies to provide special rental rates. Most rates
include unlimited free mileage, free loss damage waiver, and free primary liability
coverage. University employees traveling on official State business are encouraged to
use these contracted rates when possible. A listing of the agencies and rates is available
at http://www.sfasu.edu/controller/travindex.html.
A detailed receipt from the motor vehicle rental company, attached to the Travel
Voucher, is required for reimbursement of motor vehicle rental expenses.
*■*
Incidental Expenses
Expenses for ground transportation such as taxi, limousine, subway, bus and other modes
of mass transit are reimbursable, subject to the provisions of this section. All expenses
must be listed on the approved Travel Request and Travel Voucher. Limousine expenses
are reimbursable if it was the least costly transportation available considering all relevant
circumstances. If two or more State employees share a taxi or limousine, only the
employee who paid for the transportation may be reimbursed for that expense. Other
official business expenses (e.g., parking, telephone calls, and copy services) are also
reimbursable.
Receipts are requested, but not required, for reimbursement of these incidental expenses.
If receipts are not provided, an explanation of the reimbursable expenses must be detailed
on the Travel Voucher (including type of expense, date, amount and location).
The following are not reimbursable: expenses of a personal nature; expenses that would
be incurred by the employee regardless of official State business travel; tips and
gratuities; alcoholic beverages.
Student and Other GroupTravel
When a group travels together, it may be more convenient for one person to pay and
claim expenses of the entire group. In this case, the person paying the expenses will be
responsible for submitting the Travel Request and the Travel Voucher. Receipts are
required for all expenses of group travel, including meals. Additionally, a list of
names of all travelers must be attached to the Travel Request and Travel Voucher.
The group sponsor/advisor may request advance travel funds to pay expenses for the
group (refer to the Advance Travel Funds section of this policy for procedures). The
sponsor/advisor will be solely responsible for claiming reimbursement on the Travel
Voucher, and for repayment of the advance travel funds. Sponsors/advisors of group
travel are encouraged to contact the travel manager in the Controller's Office prior to the
trip for helpful record-keeping tips.
P14
Employees traveling together are not considered group travel. Each employee must pay
and claim his/her own expenses.
No Educational and General funds (account numbers 1-XXXXX) may be used to pay
or reimburse travel expenses for students. All other provisions of this policy apply to
student travel.
Prospective Employees
All provisions of this policy apply to prospective employees, except they are not required
to submit a Travel Request.
Non-Reimbursable Travel
Travel requests may be approved on a non-reimbursement basis for purposes that will not
conflict with other University policy and as approved in advance of travel through
appropriate procedures.
Approval on a non-reimbursement basis may be given for travel:
regarded as official University business, but for which funds are not approved;
associated with approved outside employment and consistent with the guidelines
pertaining thereto (Policy E-35);
necessitated by faculty when providing consultant services related to the academic
programs of the University;
that complies with the Leave of Absence policies (Policies E-29A and E-30N) of
the University;
deemed consistent with the University's mission;
necessitated by personal business that cannot otherwise be scheduled; or
when approved annual leave is being used.
In any event of absence from class, the instructor is not to dismiss class but is to arrange
for an appropriate replacement. Moreover, only in extraordinary situations will travel be
approved that will result in the instructor missing the same class more than twice in
succession.
Source of Authority: Texas State Comptroller; Vice President for Business Affairs;
State Travel Management Program of the General Services Commission; Governor's
Policy on Foreign Travel; Internal Revenue Service; Vice President for Academic Affairs
Cross Reference: Intercollegiate Athletics Policy Manual; State of Texas Travel
Allowance Guide; Texas State Travel Directory; Internal Revenue Service, Publication
463; Texas Comptroller of Public Accounts Mileage Guide; Outside Employment, Policy
E-35; Leave of Absence (Faculty), Policy E-29A; Leave of Absence (Non-Academic),
Policy E-30N
Contact for Revision: Controller
P15
Forms: Travel Request, Travel Voucher, Texas Hotel Occupancy Tax Exemption
Certificate, and Purchase Voucher (all available from University Printing Services and at
http://www.sfasu.edu/controller/travindex.html): Report for State Agency Travel to
Washington, D.C. and Request for Governor's Approval for State Employees Traveling
to Foreign Countries (both available at http://www.sfasu.edu/controller/travindex.htmn:
Bank of America Corporate Travel Charge Card Application (available from travel
manager in Controller's Office); Airfare Billing Form (available from University Printing
Services)
Questions regarding the preparation of forms mentioned in this policy should be directed
to the Controller's Office.
P16
Advance Airlino Ticket Purchases —C-Ll
Original Implementation: Unpublished
Last Revision: October 11,1997
An employee wishing to travel on University funds should first obtain approval by
submitting a Travel Request through appropriate administrative
channels which includes the estimated cost of the airfare.
An employee who wishes to book a flight which is billed directly to the University must
submit an "Airfare Billing Form" to the Controller's Office
for approval After approval by that office, the employee should present the signed form
to a local travel agency to obtain a flight booking which
will be billed to the University.
Any airline ticket purchase not made through this procedure will be reimbursed to tho
employee only after completion of the authorized travel.
Source of Authority: Vice President for Business Affairs
Cross Reference: None
Contact For Revision: University Controller
Forms: Travel Request, see Index C 37; Airfare Billing Form (both available in
University Printing
P17
Foreign Travel G-44
Original Implementation: Unpublished
Last Revision: January 25, 2000
Travel for official University business by Stephen F. Austin State University employees
outside the United States or its possessions, Canada, and
Mexico, for which any reimbursement is received, requires advance approval of the
University President (or the appropriate vice president in the
President's absence). Additionally, travel for official University business by Stephen F.
Austin State University employees outside the United
States or its,posscssions, Canada, and Mexico, which involves the use of state funds
requires advance approval from the Governor of Texas.
To be approved, foreign travel must be directly related to the University's mission and .
must require a duty that cannot be performed without the
ft* nxrai
hA U. » V/JL •
A completed "Travel Request" form must be routed through the appropriate
administrative channels in sufficient time to be approved by the Office
of the President prior to the date of departure. When required, a copy of the Governor's
approval must be attached to the Travel Request when it is
initially submitted to the President.
Source of Authority: Sec. 660.021, Tx Gov Code, VTCS, President, Sec. 9 5.10(h),
General Appropriations Act, 76th Texas Legislature
Cross Roferencei State of Texas Travel Allowance Guide
Contact For Revision: President
Forms: Travel Request, see Index C 37
P18
Non Roimbursablo Travel
Original Implementation: Unpublished
Last Revision: July 27,1999
Travel requests may be approved on a n : basis for purposes that will not
rnnflirt vn't^ nfanT University policy and ac approved ii
appropriate procedures.
travel through
Approval on a non reii it basis may be given for travel:
1 .rftgnrrinri nr nffinjni University business, but for which funds c
2.associatcd with app d outsid
are not approved;
ploy ith the guidelines
pertaining thereto;
—3 .necessitated by faculty when providi academic
programs of the University;
—4 .that complies with the L )f Absence policy of the University;
5.decmod consistent with the University's mission of service, teaching and/or research;
6.neccssitated by personal business that cannot otherwise bo scheduled; or
7.approved when annual leave is being used.
In any event of absence from class, the instruct
for an appropriate replacement. M
dismiss class but is to arrange
r, onl ill travel
approved that will result in the instruct
nary situations will trav
:lass more than twice in
succession.
Source of Authority: Vice President for Academic Affairs
Cross Reference: Leave of Absence (Faculty), Policy E 29A; Leave of Absence (Non
Academic), Policy E 30N; Travel Request, Policy C 37; Outside Employment, Policy E
Contact for Revision: Vice President for Academic Affairs
Forms: Travel Request
P19
Registration Foos C-33.1
Original Implementation: Unpublished
Last Revision: April 21, 1998
The University will pay the registration fee for official business conferences and
seminars. If the conference is being held out of town, the employee must first obtain
approval to travel by submitting a Travel Request which includes the registration foe in
the estimated costs of the intended trip. The employee registering for the conference or
workshop should submit a completed Purchase Voucher to the Controller's Office well in
advance of the conference.
An employee who pays the registration fee from personal funds may be reimbursed by
including it as a miscellaneous expense on his Travel Voucher if the fee was approved on
the Travel Request or he may submit a completed Purchase Voucher if the trip did not
require out of town travel.
Some registration fees include meals, lodging and other expenses related to travel. If such
expenses are included in the registration fee which has been paid through a purchase
voucher prior to travel, these expenses may not be reimbursed on a Travel Voucher" to
the employee.
The State of Texas Travel Allowance Guide provides comprehensive information on
travel procedures and the proper classification of travel related expenditures. A copy of
the guide is distributed by the Controller's office.
Source of Authority; Vice President for Business Affairs
Cross Reference: State of Texas Travel Allowance Guide
Contact for Revision; Controller
Forms: Purchase Voucher (see C 31), Travel Reimbursement (see C 38),
P20
Travel Request —— p. 37
Original Implementation: September 1,1988
Last Revision: January 25,2000
State employees and others authorized to travel on official business of tho University
(employees) must obtain permission to do so in advance of the trip by submitting a
Travel Request form, whether or not expenses will be incurred. Members of the Board of
Regents are exempt from the Travel Request requirement.
This policy applies to employees traveling in any capacity unrelated to intercollegiate
athletics. All policies, rules, and regulations related to travel on behalf of or in connection
with intercollegiate athletics are included in the current issue of the Intercollegiate
Athletics Policy Manual.
A Bank of America Corporate Card is available for eligible travelers of the University
who wish to charge travel expenses. Applications and further information concerning this
program are available in the Controller's Office.
Advance travel funds may be requested with the Travel Request form for persons not
eligible for the Bank of America corporate card, for group travel, and for travel with
particularly unusual circumstances (must be specified). The minimum amount of advance
funds that can be obtained is $100. If advance funds are required, the request should be
received by the Controller's Office at least five (5) working days prior to departure.
Generally, the requested funds will be available at the University Business Office at least
one working day prior to departure. Advance travel funds will be issued by a check made
payable to the individual requesting the funds.
The Travel Request must be initiated and authorized at the departmental level. For
academic departments, the request must be approved by the appropriate dean and
forwarded to the Vice President for Academic Affairs for final approval. For
administrative staff, the Travel Request must be approved through appropriate
administrative channels. It must then be sent to the appropriate vice president or President
for final approval. Partial per diem payments require the President's approval. After final
approval, the request must be routed to the Controller's Office.
Before traveling to Washington, D. C, an employee shall inform the Office of State
Federal Relations about the timing and purpose of the trip and provide the office with the
name of a person who may be contacted for additional information about the trip. A form,
P21
Report for Stage Agency Travel to Washington, D. C, is available to meet this
requirement.
Before traveling to any foreign country other than Canada or Mexico, an employee shall
obtain advance written approval of the University's President. Travel to any foreign
country other than Canada or Mexico with the use of state funds requires advance written
approval from the Governor of Texas. Refer to Foreign Travel, Policy C 11 for the
approval requirements and to The State of Texas Travel Allowance Guide for exceptions
to the reimbursement limits.
Source Of Authority; Vice President for Business Affairs
Cross Reference: Foreign Travel, Policy C 11, State of Texas Travel Allowance Guide
Contact For Revision; Controller
Forms: Travel Request (available in University Printing Sendees) and Report for State
Agency Travel to Washington, D. C.
P22
Travel Reimbursement
Original Implementation: September, 1990
Last Revision: October 21, 1998
General Information
State employees and others authorized to travel on official b
(employees) must complete a Travel Request (See Policy C 37) f<
of the University
ipproval in advance
of the actual travel. If the travel i by the University, they
should be listed on the Travel Request. Members of the Board of Regents arc exempt
from the Travel Request requirement. Employ
efficiently to conserve the University's fii
st travel economically and
at- xpenditures should
occur at the lowest possible levels, sklem sk t circumstances. Each
employee requesting reimbursement should submit
days after completion of the travel.
el Voucher within thirty (30)
The State Comptroller's Office publishes "The State of Tex
to assist employees in the completion of travel vouchers. A
each department by the Controller's Office.
; Travel Allowance Guide"
urrent copy is provided to
The travel regulations contained in this policy apply to all University funds unless
otherwise noted. This policy does not apply to travel related to arcollegiate athletics.
All policies, rules, and regulations for travel on behalf of or in connection with
intercollegiate athletics are included in the current issue of the Intercollegiate Athletics
Policy Manual.
Reimbursement Rates Lodging
The actual lodging receipt is required for reimbursement. If the actual lodging receipt is
lost, a copy of the receipt or a credit card receipt will bo accepted as proof of payment.
Receipt must be attached to the Travel Voucher.
In State
P23
Effective September 1,1997, employees may be reimbursed for the actual cost of
lodging not to exceed seventy dollars ($70) per day and the local taxes only on the
allowable lodging cost.
rOvu t of State
Employees traveling within the continental United States may be reimbursed for the
actual cost of lodging not to exceed the locality based allowance for that location as
established in the "Federal Travel Regulations Guide". They may be reimbursed for the
applicable taxes only on the allowable lodging costs.
Travel Reimbursement
Employees traveling to localities not listed in the Federal Travel Regulations receive the
lowest flat rate established in that state for lodging. If the actual cost of lodging exceeds a
travel locality's lodging allowance, an employee may reduce the maximum meal
reimbursement rate for that locality and use the reduction to increase the maximum
lodging reimbursement rate for that locality.
Reimbursement Rates—Meals
Employees may be reimbursed for meal expenditures while away from campus only if
the travel requires them to be at least 25 miles from the locality of the University for at
least six (6) consecutive hours. Food and/or beverage expenditures for other than meals
are not reimbursable. Funds appropriated by the General Appropriations Act may not be
used to purchase or reimburse an employee for the purchase of an alcoholic beverage.
Appropriate business entertainment expenses involving meals may be reimbursed
pursuant to the Food Purchases policy, Policy C 13, and are exempt from the distance
and time requirements.
In State
Meals are reimbursed at the lower of actual cost or the following meal allowances:
P24
Breakfast $1.25
Lunch 8.25
Dinner 12.50
Total $25.00
Receipts are not required for meal reimbursements but reimbursement is available
only if the employee purchases and consumes a meal in accord with the distance and time
standards. Meals included as part of a registration or conference fee or which are
purchased for the employee are not reimbursable under this provision of the policy.
Employees required to travel away from the campus on official business not requiring an
overnight stay may be entitled to the stated meal allowance if the distance traveled (one
way) is at least twenty five miles and the time away from campus is at least six
consecutive hours.
Out of State
Employees may be reimbursed for the actual cost of meals not to exceed the locality
based allowance for that location as established in the Federal Travel Regulations Guide.
If the travel is to a locality not listed in the federal regulations, employees will receive the
lowest flat rate established in that state for meals.
Reimbursement Rates Mileage
Reimbursement for use of an employee's personal vehicle is calculated at the rate
specified in the current "State of Texas Travel Allowance Guide". Mileage is based on
the shortest highway distance, including the use of all farm to market roads, and must be
itemized on a point to point basis. Mileage is determined by the "Official State Mileage
Guide" published by the Statistical Research Service.
Group Travel—Lodging
Group travel occurs if two or more employees travel together to the same location.
Employees sharing lodging may consolidate or separate lodging claims. In cases of
shared lodging, the Travel Voucher must clearly indicate by name the other employee(s)
P25
sharing the room. The total reimbursement for lodging cannot exceed the lesser of the
actual lodging charge or an amount equal to the number of employees in the group times
the individual lodging rate established in this policy.
Travel At Actual Expenses
If the President is unable to attend a meeting or conference, the President may designate,
on an individual trip basis, one employee as a representative to travel on an actual
expense status. Under this provision, the allowance rates for lodging and meals specified
by this policy do not apply. The Travel Voucher for reimbursement of these claims must
be accompanied by originals of the designating document and paid receipts for which
reimbursement is requested.
Student Travel
No state appropriated funds may be used to pay or reimburse travel expenses for
students. All other provisions of this policy apply to student travel. (See Group Travel
section) If the number of students in the group exceeds twenty, the name of the group
may be substituted for the list of names.
Commercial Travel
Employees who travel by commercial airline should use their individual corporate
American Express card to charge their airline ticket. See Advanced Airline Ticket
Purchases, Policy C 1.1, for the appropriate procedure if the flight must be booked ten or
more days in advance to obtain the lowest fare.
Incidental Expenses
Reimbursement for official business expenses other than transportation, meals, or
lodging, e.g., ground transportation, telephone calls, copy sendees, etc., may be requested
if original receipts are attached to the approved Travel Voucher. The following are not
reimbursable: expenses of a personal nature; expenses that would be incurred by the
employee regardless of official state business travel; and tips and gratuities.
P26
Registration Fees
Registration cost for attendance at a professional meeting is reimbursable if the original
receipt is attached to the approved Travel Voucher.
Reimbursement Limits
The cost limits established by this policy may be exceeded only if funds arc available in
and the additional costs are charged to a discretionary account controlled by the budget
manager authorizing the additional expenditure. For this policy, discretionary funds shall
be defined as specified accounts established for appropriate officials for the sole purpose
of discretionary use.
Source Of Authority; Comptroller, State of Texas; Vice President for Business Affairs
Cross Rcforcnco; Advanced Airline Ticket Purchase, Policy C 1.1; Food Purchases,
Policy C 13, Travel Request Policy C 37, and "The State of Texas Travel Allowance
Guide" A copy of the current "State of Texas Travel Allowance Guide" is distributed by
the Controller's Office to each department. The travel guide provides comprehensive
information on travel procedures and the proper classification of travel related
expenditures. Questions regarding the preparation of travel vouchers should be directed
to the Controller's office.
Contact For Revision: Controller
Forms: Travel Voucher
P27
Travel Charge Card C-43
Original Implementation: January 19, 1999
Last Revision: January 25,2000
An Bank of America Corporate Card is available for eligible travelers of the University
who take, or expect to take three (3) or more business trips per fiscal year, or expend at
loast $500 per fiscal year for official state business. The state issued Bank of America
Corporate Card is to be used for business related charges only. By accepting the charge
card, the employee accepts the responsibility for paying all charges timely and agrees that
the charge card is intended for state business travel use only.
The Bank of America Corporate Card issued to an employee remains the property of the
State of Texas and should be used only for official state business charges while away
from the University. Use of the Bank of America Corporate Card by an employee for
personal business is considered a violation of state policy and will be subject to corrective
action. The State Travel Management Program and the University will receive monthly
reports of charges made on all charge cards and the status of payments. Charges will be
reviewed for compliance with guidelines stipulated on the Charge Card Agreement
signed by the employee at the time of application. If an account ages to sixty (60) days
past due, Bank of America may impose a 2.5% ($20 minimum) late charge. The late
charge will be assessed 60 days from the statement date in which the charges considered
past due were billed. The Vice President for Business Affairs will be responsible for
monitoring charges and payment status on all individual corporate charge cards issued to
University employees and to ensure compliance with the regulations and penalties
stipulated on the Charge Card Agreement. .
Sourco of Authority; State Travel Management Program, Charge Card Sendees, 1 TAC
sec. 125.9; Vice President for Business Affairs
Cross Reference; Travel Request, Policy C 37
Contact for Revision; Controller
Forms; Card Use Agreement
P28
Reporting Fiscal Misconduct C-46
Original Implementation: January 28,1997
Last Revision: HvaeOctober 30, 2000
INTRODUCTION
This policy establishes procedures and responsibilities for reporting and resolving instances of
known or suspected fiscal misconduct. The intent of the policy is to protect the assets and
interests of the University, prescribe a coordinated approach toward investigation and resolution
of fiscal misconduct and outline specific responsibilities for individuals responding to the
investigation of a fiscal misconduct event. Retaliation for filing a good faith report regarding
suspected fiscal misconduct is prohibited by this policy, and is cause for disciplinary action, up
to and including termination.
DEFINITIONS
A) University - Stephen F. Austin State University and all of its components,
regardless of the source of funding.
B) Employee - All personnel employed by the University, including faculty, staff, and
students.
C) Fiscal Misconduct - Defalcation, misappropriation, and other fiscal irregularities,
including but not limited to:
1) dishonest, illegal, or fraudulent acts involving University property;
2) forgery or alteration of checks, drafts, promissory notes, and securities;
3) forgery or unauthorized alteration by employees of employee benefit or
salary-related items such as time sheets, payroll documents, billings, claims,
surrenders, assignments, or changes in beneficiary;
4) forgery or unauthorized alteration by employees of student related items such
as grades, transcripts, loans, fees, financial aid applications, financial aid
records;
5) misappropriation of funds, securities, supplies, or any other asset of the
University;
6) illegal or fraudulent handling or reporting of money transactions;
7) employee acceptance or solicitation of any gift, favor, or service that might
reasonably tend to influence the employee in the discharge of his or her
official duties;
P29
8) destruction or disappearance of records, furniture, fixtures, or equipment
where theft is suspected.
D) Suspected Fiscal Misconduct - A reasonable belief or actual knowledge that fiscal
misconduct has or is occurring. Failure to show an actual diversion of assets or loss
shall not be considered unreasonable belief.
POLICY AND PROCEDURE
Any employee of the University who knows of or suspects fiscal misconduct must promptly
notify his or her immediate supervisor and/or one of the following investigative units: the
Department of Audit Services, the Office of General Counsel, the University Police Department
or the Personnel Department. The University Police Department or Office of General Counsel
are the preferred primary contacts. The unit contacted shall contact the remaining three units as
appropriate to establish the necessary investigative team and procedures.
All affected departments and/or individuals shall cooperate fully with the investigative team to
identify whether or not actual fiscal misconduct has occurred.
The investigative team shall update University administration of the progress of all
investigations. The scope of and individuals subject to investigations are to be considered in
determining the extent and nature of notification.
The results of all investigations will be reported to the President of the University.
Management is responsible for establishing and maintaining a system of internal control that
provides reasonable assurance that improprieties are prevented and detected. Each manager
should be familiar with the types of improprieties that might occur in his or her area and be alert
for any indication that such a defalcation, misappropriation, or other fiscal irregularity has
occurred.
Management will support the University's fiduciary responsibilities and will cooperate with law
enforcement agencies in the detection, investigation, and reporting of criminal acts, including
prosecution of offenders. Every effort should be made to recover University losses.
The Office of Audit Services will supervise all audits of allegations of defalcation,
misappropriation, and other fiscal irregularities. When an audit reveals suspected criminal
activity, or an audit is initiated due to an allegation of criminal activity, the University Police will
be notified immediately and the audit will proceed under their direction.
When an audit involves allegations or reveals suspected criminal activity which may constitute a
felony offense, the Chief of Police shall, when appropriate, immediately notify the President or
his designee. The Director of Audit Services shall keep the University Police informed
regarding the progress of the audit.
P30
The University Police, Office of Audit Services, and Office of the General Counsel will
coordinate assistance provided to State, Federal, and local law enforcement agencies in
connection with felony fraud investigations. All requests for information and/or assistance from
such agencies, received by any other component of the University, shall be immediately
forwarded to the University Police for determination and handling. All reasonable assistance
will be given to law enforcement agencies when requested.
All requests for information and assistance related to investigations conducted by auditors of
federal and state agencies, which are concerned with potential dishonest or fraudulent activities
within the University, shall be forwarded immediately to the Director of Audit Services for
consultation with the Office of General Counsel.
In order to avoid the use of investigative techniques that might prevent evidence from being used
in a criminal prosecution, University Police will coordinate the criminal investigation once
probable criminal activity has been detected. The Office of Audit Services shall assist the
University Police in investigations of suspected defalcation, misappropriation, and other fiscal
irregularities that require accounting and auditing knowledge of University records.
In order to protect the reputations of innocent persons initially suspected of wrongful conduct
and to protect the University from potential civil liability, the results of investigations and
attendant audits will not be disclosed or discussed with anyone other than authorized
representatives of law enforcement and/or regulatory agencies and only those persons associated
with the University who have a legitimate need to know such results in order to perform their
duties and responsibilities, subject to provisions of the Texas Open Records Act.
INVESTIGATIONS AND ATTENDANT AUDITS
Audits revealing violations of the Penal Code for which an audit report will be issued shall be
reduced to final report form only after consultation by University Police with the local prosecutor
or the Office of General Counsel to ensure that appropriate documentation of the facts has been
achieved in order to permit appropriate personnel action, protect innocent persons, support
appropriate civil or criminal actions, document claims made pursuant to applicable fidelity
bonds, preserve the integrity of criminal investigation and prosecution and avoid unnecessary
litigation.
Great care must be taken in the investigation of suspected improprieties or irregularities to avoid
incorrect accusations or alerting suspected individuals that an investigation or audit is underway
and also to avoid making statements which could provide a basis for a lawsuit for false
accusation or other offense. The reporting individual should not:
1) contact the suspected individual to determine facts or demand restitution; or
2) discuss the facts, suspicions, or allegations associated with the case with anyone,
unless specifically directed to do so by the Office of Audit Services, University
Police, or Office of the General Counsel.
P31
All inquiries from the suspected individual, their representative or their attorney shall be directed
to the Office of General Counsel without further comment.
All reproduction of documents, evidence, and reports shall be performed within the secured work
area of the University Police or Office of Audit Services. Any requests to release or review such
documents will be coordinated through the Office of the General Counsel.
To the extent permitted by the applicable provisions of the Texas Open Records Act,
confidentiality of those reporting dishonest or fraudulent activities will be maintained. However,
the confidentiality cannot be maintained if that individual is required to serve as a witness in
legal proceedings.
When an audit initiated due to an allegation of criminal activity has failed to detect criminal
activity or when advised by the Office of General Counsel, the Director of Audit Services has the
discretion to stop"-the audit. The Office of University Police retains authority to review the
progress of criminal investigations and to determine whether to pursue a criminal prosecution.
AUDIT FINDINGS
Each investigation of possible dishonest or fraudulent activities has the potential to provide
valuable insight into University activities. Investigations may disclose control weaknesses or
other deficiencies that require additional auditing or attention by management. The Office of
Audit Services shall consider the nature and extent of the investigation and complete any
additional audit work necessary to provide management with information for appropriate action.
SOURCE OF AUTHORITY: Board of Regents
CROSS REFERENCE: None
CONTACT FOR REVISION: Vice President for Business Affairs
FORMS: None
P32
Computer & Network Security D
Original Implementation: January 24,1995
Last Revision: July 27, \999October 31, 2000
Purpose
To establish conditions for use of, and requirements for appropriate security to cover University
computers, available information technology, and networks.
Scope
This policy is effective at all University locations or data centers and represents the minimum
requirements that must be in place. Individual areas that have computers and networks may have
additional controls and security, but they are in addition to this Policy.
Computer & Network Security
This policy is effective at all University locations or >in^ ™»nt»rr. nnH ™pn».r.p.ntp. tho minimum
requirements that must be in place. Individual areas that have computers and networks may have
additional controls and security, but they aro in addition to this policy.
Responsibility
The University Computing and Telecommunications Advisory Committee is responsible for the
development of university-wide policies, controls and procedures to protect the university
network and information systems from intentional or inadvertent modification, disclosure of
confidential information, or destruction. The committee is also responsible for education of the
campus community in the ethical use of computer information and network facilities.
Policy
At each data center, appropriate security shall include:
1. Protection of the privacy of confidential information
2. Protection of information against unauthorized modification
3. Protection of systems against unauthorized access
In order to maintain such security, the university reserves the right to:
1. Limit, restrict, or terminate an account holder's usage
2. Inspect, copy, remove, or otherwise alter any data, file, or system resource that may
undermine the authorized use of that system, with or without prior notice to the user.
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3. Periodically check the systems and take any other such actions necessary to protect the
university computers, information, and networks.
Each data center facility at Stephen F. Austin State University must develop an internal security
document to cover such details as the type of access controls (minimum length of passwords,
other type of accessing, etc.), disaster recovery plans, contingency plans for continuous operation
in case of power outages, etc. Those documents are considered to be part of this policy
statement.
The University shall not be liable for, and the user assumes the risk of, loss of data or
interference with files resulting from the University's efforts to maintain the privacy and security
of the University's computer, information and network facilities.
Access to, and use of, computers and computer networks
Individuals are expected to exercise responsible, ethical behavior when using the University's
computer, information, networks or resources.
1. Access to some university computer systems, accounts and resources is limited to
designated individuals. Access is provided through the establishment of an account. Issuance
of passwords and designation of some computer accounts must be approved in writing
through the respective dean or director (or designated representative) of the administrative
unit. The unauthorized use of university computer systems, accounts and resources; the
unauthorized use of another person's computer account; and the provision of false or
misleading information systems are prohibited and will be subject to the sanctions described
in this policy.
2. Each user is responsible for understanding and complying with the security rules of
University computer systems. Authorized users shall take all reasonable precautions to
prevent use of University computer systems by unauthorized persons.
3. Use of another person's account or access to the university's computer system without
authorization is prohibited. Authorization shall not be given for anyone to use another's
account(s) unless such authorization is specifically requested in writing, and approved in
writing by the account owner and the respective dean or director (or authorized
representative) of the computer or network. The authorized user(s) of an account is (are)
responsible for all usage on that account. Account owners shall take all reasonable
precautions, including password maintenance and file protection measures, to prevent use of
account by unauthorized persons. Account must only be used for the purpose for which they
were authorized.
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4. Users have the responsibility to use available mechanisms and procedures to protect their
own programs, programs in software libraries, and data. They also are responsible for
assisting in the protection of the systems they use.
5. Individuals programs, programs in software libraries, and data that belong to another
account shall not be accessed or copied without prior authorization from the account holder.
Individuals may not transport such files to other computer sites without written permission.
6. Computer software protected by copyright is not to be copied from, into or by using
University computers, except as permitted by law or by the license or contract with the owner
of the copyright. The software license or contract will define number of copies, simultaneous
users, machine exclusivity, etc. It is the responsibility of the individual and department which
orders/purchases the software to read and follow the terms of the software license agreement.
7. Because the University is an Internet Service Provider (ISP) for faculty, staff and students,
it must comply with the Federal Digital Millennium Copyright Act. This means disciplinary
action including termination of service may be taken on any reported copyright infringements
that have been investigated and eotormined determined valid, (see
www.arl.org/info/frn/copv/dmca.html')
8. University computer systems are reserved for use only for University-related activities.
(See Chapter 39 of the Texas Penal Code for provisions dealing with the misuse of state
property) The intentional deletion or alteration of information or data of others, intentional
misuse of system resources, and permitting misuse of system resources by others is
prohibited.
9. Individuals aware of any breach of information system or network security, or compromise
of computer security safeguards, must report such situations to the dean or director (or
designated representative) of the data center in which the incident occurred. The data center
representative will contact other campus departments as appropriate.
Sanctions for policy violations
Violation of any provision of this policy may result in but are not limited to:
(i) a limitation on a user's access to some or all University computer systems, (ii) the initiation of
legal action by the University, including, but not limited to, criminal prosecution under
appropriate State and Federal laws (See Chapter 33 of the Texas Penal Code), (iii) the
requirement of the violator to provide restitution for any improper use of service, and (iv)
disciplinary sanctions, which may include dismissal. Applicable University discipline and/or
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discharge policies will be followed in the imposition of sanctions related to a violation of this
policy.
Course and work related access to computers and computer networks
Many academic courses and work-related activities require the use of computers, networks and
systems of the University. In the event of an imposed restriction or termination of access to some
or all University computers and systems, a user enrolled in such courses or involved in computer
related work activities may be required to use alternative facilities, if any, to satisfy the
obligation of such courses or work activity. However, users are advised that if such alternative
facilities are unavailable or not feasible, the users bear the responsibility for failure to complete
requirements for course work or work responsibility.
Source of Authority: Vice President for Academic Affairs and Vice President for Business
Affairs
Cross Reference: None
Contact for Revision: Computing and Telecommunications Advisory Committee
Forms: None
Return to Policy & Procedure Main Page
P36
STUDENT RECORDS D-13
Original Implementation: 1974
Last Revision: January 19, \999October 30, 2000
The purpose of this policy is to comply with federal law which: (1) grants to students the
right of access to their education records, (2) protects students from illegal use of their
education records, (3) restricts the disclosure of the social security account number of
students.
1. Definitions
For the purposes of this policy, the University adopts the following definitions:
a. Student means any person who attends or who has attended the University.
b. Education records means any record (in handwriting, print, tapes, film, or
other medium) maintained by the University or an agent of the University
which is directly related to a student, except:
(1) a personal record kept by a staff member, if it is kept in the personal
possession of the individual who made the record, and information
contained in the record has never been revealed or made available to
any other person except the maker's temporary substitute;
(2) an employment record of an individual whose employment is not
contingent on the fact that he/she is a student, provided the record is
used only in relation to the individuals employment;
(3) records maintained by the University Police Department if the records
are maintained solely for law enforcement purposes, are revealed only
to law enforcement agencies of the same jurisdiction, and the
Department does not have access to education records maintained by
the University;
(4) records maintained by University Health Services if the records are
used only for treatment of a student and made available only to those
persons providing the treatment; and,
(5) alumni records which contain information about a student after he/she
is no longer in attendance at the University and the records do not
relate to the person as a student.
2. Annual Notification
A brief description of the types of records, as well as student and institutional rights, shall
be published annually in the Student Handbook and Activities Calendar. Specific
P37
information may be obtained by consulting with administrative officials listed in this
policy.
3, Student Rights
Each student has the right:
a. to be provided with a list of the types of education records maintained by the
University;
b. to inspect and review the contents of his/her records, excluding the
exceptions included in this policy;
c. \ to obtain copies of his/her records at personal expense;
d. to explanations and interpretations of his/her records; and,
e. to a hearing to challenge the contents of his/her records.
4, Procedure to Inspect Education Records
Students may inspect and review their education records upon request to the appropriate
record custodian.
Students should submit to the record custodian or an appropriate University staff person a
written request which identifies as precisely as possible the record or records he/she
wishes to inspect.
The record custodian or an appropriate University staff person will make the needed
arrangements for access as promptly as possible and notify the student of the time and
place where the records may be inspected. Access must be given in 45 days or less from
the receipt of the request.
When a record contains information about more than one student, the student may inspect
and review only the records which relate to him/her.
5, Types and Custodians of Education Records
P38
6. Fees for Copies of Records
The fee for copies of education records will be ten (10) cents per page.
7. Right of University to Refuse Access
S,
The University reserves the right to refuse to permit a student to inspect the following
records:
a. the financial statement of the student's parents;
b. letters and statements of recommendation for which the student has waived
his/her right of access, or which were placed in file before January 1,1975;
c. records connected with an application to attend the University if that
application was denied; and,
d. those records which are excluded from the definition of education records.
8. Refusal to Provide Copies
The University reserves the right to deny transcripts or copies of records not required to
be made available by law in any of the following situations.
a. The student has an unpaid financial obligation to the University.
b. There is an unresolved disciplinary action against the student.
9. Disclosure of Education Records
The University will disclose information from a student's education records only with the
written consent of the student, except:
a. to school officials who have a legitimate educational interest in the records;
(1) A school official is a person:
(a) employed by the University in an administrative, supervisory,
academic or research, or support staff position;
P39
(b) appointed to the Board of Regents;
(c) employed by or under contract to the University to perform a
special task.
(2) A school official has a legitimate educational interest if the official is:
(a) performing a task that is specified in his/her job description or by
a contract agreement;
(b) performing a task related to a student's education;
(c) performing a task related to student discipline;
(d) providing a service or benefit relating to the student or student's
family, such as health care, counseling, job placement or
financial aid.
b. to officials of another school, upon request, in which a student seeks or
intends to enroll;
c. to certain officials of the U.S. Department of Education, the Comptroller
General, and state and local educational authorities, in connection with
certain state or federally supported education programs;
d. in connection with a student's request for or receipt of financial aid, as
necessary to determine the eligibility, amount or conditions of the financial
aid, or to enforce the terms and conditions of the aid;
e. in compliance with a state law requiring disclosure that was adopted before
November 19,1974;
f. to organizations conducting certain studies for or on behalf of the
University;
g. to accrediting organizations to carry out their functions;
h. to parents of an eligible student who claim the student as a dependent for
income tax purposes;
i. to comply with a judicial order or a lawfully issued subpoena;
j. to appropriate parties in a health or safety emergency.
P40
Proof of status from the requesting individual or organization will be required to gain
access to education records.
10. Record of Requests for Disclosure
The University will maintain a record of all requests for and/or disclosure of information
from a student's education records. The record will indicate the name of the party making
the request, any additional party to whom it may be disclosed, and the legitimate interest
the party had in requesting or obtaining the information. The record of requests may be
reviewed by the student.
11. Directory Information
The University designates the following items as Directory Information:
a. name,
b. all address, including email
c. all telephone numbers,
d. maj or field of study,
e. academic classification,
f. participation in officially recognized activities and sports,
g. weight and height of members of athletic teams,
h. dates of attendance and enrollment status
i. degrees and awards received,
j. previous schools attended, aad
k. photograph?, and
I class roster.
The University may disclose any of these items without prior written consent, unless the
student notifies the Registrar in writing to the contrary by September 1 of each fiscal
year.
12. Review and Destruction of Education Records
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The University may destroy obsolete records provided the right to access has been
followed as outlined in Section 3 of the Family Educational Rights and Privacy Act.
13. Correction of Education Records
A student has the right to request a correction on his/her education records that they
believe are inaccurate, misleading, or in violation of their privacy rights. The University
shall attempt to settle the disputed contents of an education record by informal
proceedings. If informal proceedings fail to achieve a satisfactory settlement, the student
may request a formal hearing using the following procedures.
a. To receive a hearing, a student must file a written request with the President
\ of the University. In so doing, the student should identify the part of the
'education record he/she wants amended and specify why he/she believes it
is inaccurate, misleading, or in violation of his/her privacy rights.
b. Within 10 working days of receiving the request, the President will arrange
for a hearing, and notify the student at least 5 working days in advance of
the date, place, and time of the hearing.
c. The hearing will be conducted and the decision rendered by a hearing
officer, appointed by the President, who does not have a direct interest in the
outcome of the case. The President shall name the hearing officer in the
written notice sent to the student.
d. The student shall be afforded a full and fair opportunity to present evidence
relevant to the issues listed in the original request to amend his/her
education records.
e. The hearing officer will prepare a written decision based solely on the
evidence presented at the hearing.
f. If the hearing officer decides that the disputed contents of the education
record are inaccurate, misleading, or in violation of the student's right to
privacy, he/she will amend the record, and notify the student in writing that
the record has been amended. •
g. If the hearing officer decides that the disputed contents of the education
record are not inaccurate, misleading, or in violation of the student's right to
privacy, he/she will notify the student of his/her right to place a statement in
the education record commenting on the disputed contents and/or a
statement setting forth the student's reasons for disagreeing with the
decision.
h. The student's statement will be maintained as part of the student's education
record as long as the disputed contents are maintained by the University. If
P42
the University discloses the disputed contents of the education record to any
person, it must also disclose the student's statement to the person.
14. Disclosure of Social Security Account Number
Federal law requires that when any federal, state or local government agency requests an
individual to disclose his/her social security account number (SSAN), that individual
must also be advised whether that disclosure I s mandatory or voluntary, by what
statutory or other authority the number is solicited, and what uses will be made of it.
Accordingly, students, or applicants for admission as students, are advised that disclosure
of a student's SSAN is mandatory as a condition for participation in certain activities at
the University.
Under the mandatory category, the SSAN is used to verify the identity of the student, and
as an identifier to record necessary data accurately for such activities as admissions;
housing and food services; determining and recording eligibility for student financial
assistance to include loans, scholarships, and grants; student employment; recording
entitlement to and disbursement and repayment of loans; recording entitlement to and
payment of scholarships, grant allowances, and official student travel and per diem;
determining and recording eligibility for and participation in athletic and similar events;
and such other related requirements which may arise.
Disclosure of a student's SSAN is voluntary for certain other activities. Under the
voluntary category, the SSAN is used to verify the identity of the student and to record
data accurately for such activities as testing, reporting and evaluation of the ACT and the
SAT; recording and reporting student grades and related academic data; registering for
placement services to include preparation of resumes and furnishing information to
prospective employers and such other related uses which may arise.
Authority for requiring the disclosure of a student's SSAN is grounded on Section 7(a)(2)
of the federal statute which provides that an agency may continue to require disclosure of
an individual's SSAN as a condition for the granting of a right, benefit, or privilege
provided by law where the agency required this disclosure under statute or regulation
prior to January 1, 1975, in order to verify the identity of an individual.
The University has for several years requested the disclosure of the SSAN on student
application forms and other necessary student forms and documents used pursuant to
statutes passed by the State of Texas and the federal government and to regulations
adopted by agencies of the State of Texas and the federal government, and by the Board
of Regents of the University.
Source Of Authority: Family Educational Rights and Privacy Act of 1974,20 U.S.C.
sec. 1232 et seq.; 45 CFR sec. 99.01 et seq.; P.L. 93-579, sec. 7; President; Vice
President for Academic Affairs; ORD 244
Cross Reference: SFA Web Pages
Contact for Revision: General Counsel
Forms: None
P43
Hazing D-16
Original Implementation: September, 1987
Last Revision: October 11,1997October 31, 2000 \
Stephen F. Austin State University is unequivocally opposed to any activity by an organization or
individual(s) within the organization that is herein defined as hazing.
Definitions
Hazing. Any intentional, knowing or reckless act occurring on or off campus by one person alone
or acting with others, that endangers the mental or physical health or safety of a currently-enrolled
or prospective student for the purpose of pledging new member intake, being initiated into, |
affiliating with or maintaining membership in that organization.
Hazing acts include but are not limited to:
1. any type of physical brutality such as whipping, beating, striking, branding, electronic shocking,
etc.;
2. any type of physical activity such as sleep deprivation, exposure to the elements, confinement in
a small space, calisthenics or other activity that subjects the student to an unreasonable risk of harm
or that adversely affects the mental or physical health or safety of the student;
3. any activity involving consumption of a food, liquid, alcoholic beverage, drug or substance
which subjects the student to unreasonable risk or harm;
4. any activity that intimidates or threatens the student with ostracism, subjects the student to
extreme mental stress, shame-eF, humiliation or that adversely affects the mental health or dignity of |
the student or discourages the student from entering or remaining at the institution;
5. any activity that induces, causes, or requires the student to perform a duty or task which involves
a violation of the Penal Code.
Committing an Offense. The organization and any individual involved in hazing commits an
offense by:
1. engaging in hazing;
2. soliciting, encouraging, aiding or directing another engaging in hazing;
3. intentionally or knowinglypermitting hazing to occur;
4. having first-hand knowledge that a specific hazing incident has occurred and failing to report
said knowledge in writing to the Dean of Student Development.
Organization Hazing Offense. An organization commits an offense if the organization condones or
encourages hazing or if an officer or any combination of members, pledges, or alumni of the
organization commits or assists in the commission of hazing.
Consent
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It is not a defense to prosecution of an offense that the person against whom the hazing was
directed consented to or acquiesced in the hazing activity.
Penalties - University
Individual. Each individual committing an offense is subject to University penalties ranging from
probation to suspension, expulsion.
Organization. Student organizations committing an offense may be placed on University probation
and are subject to withdrawal of University recognition.
Penalties - Criminal
Individual. Penalties relative to criminal prosecution range from a fine of $1,000 and 180 days in
jail for failure to report a hazing incident to a fine of $10,000 and two years in jail for an incident
which causes the death of a student.
Organization. The student organization may be penalized with a fine of up to $10,000 or double
the expenses involved due to the injury.
Notice of Policy
To General Campus Community. This policy shall be published in the General Bulletin, SFASU
Website Student Handbook and Activities Calendar, Schedule of Classes and The Pine Log so as to
cause all students to be aware of the provisions of this policy.
Of Offenders. A list of organizations that have been disciplined for hazing or convicted for hazing
on or off campus during the previous three years shall be published in the same manner. The three
year publication will begin as soon as the organizations' name can be placed in the next printing
of the General Bulletin.
Source of Authority: Texas Education Code, sees. 4.51 to 4.58; Board of Regents; President;
Vice President for University Affairs
Cross Reference: SFASU Web pages Student Handbook and Activities Calendar, General
Bulletin
Contact for Revision: Dean of Student Development
Forms: None
P45
Illicit Drugs and Alcohol Abuse D-19
Original Implementation: September 1,1986
Last Revision: January 20, \99Wctober 37, 2000
It is the declared policy of the United States Government to create a Drug-Free America
by 1995. As a part of that policy, the Drug-Free Workplace Act of 1988, P.L. 100-690,
Subtitle D was adopted. On December 12,1989, President Bush signed the Drug-Free
Schools and Communities Act Amendment of 1989, P.L. 101-226, which amends
provisions of the Drug-Free Schools and Communities Act of 1986 and the Higher
Education Act of 1965. University policies relating to the use of illegal drugs and
alcoholic Beverages have been established by the Board of Regents of Stephen F. Austin
State University in compliance with state and federal law.
Standards of Conduct
University policy prohibits all employees (full-time and part-time faculty, staff, and
students) from engaging in the unlawful manufacture, distribution, dispensation,
possession, or use of a controlled substance or alcoholic beverage in the workplace, or
reporting to work under the influence of alcoholic beverages or illegal drugs. None of the
funds appropriated to the University by the State Legislature for travel expenses may be
expended for alcoholic beverages.
University policy further stipulates, with regard to students, that the unauthorized use of
intoxicating beverages on

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Stephen F. Austin State University Minutes of the Board of Regents Nacogdoches, Texas October 31,2000 Volume 170 BOARD MINUTES OCTOBER 31,2000 TABLE OF CONTENTS Page 01-1 Approval of August 1,2000 and September 26, 2000 Minutes 1 01-2 Faculty and Staff Appointments for 2000-01 1 01-3 Change of Status 4 01-4 Retirement 5 01-5 Voluntary Modification of Employment . 5 01-6 Temporary Employment Services Contract . 5 01-7 Underenrolled Classes 5 01-8 Designation of Positions Authorized to Approve University Expenditures. 6 01-9 FY 2001 Food Services Budget Increase 6 01-10 Visa/Mastercard and Discover Card Service Agreement 6 01-11 Budget Adjustment 6 01-12 Kennedy Auditorium Lighting 6 01-13 Building Project at Poultry Research Center 6 01-14 Replacement of Air Handlers in Hall 10 6 01-15 Purchase of Real Estate at 225 East College 6 01-16 Tower Lease for NETnet 7 01-17 Voluntary Annexation of Science Research Center Property 7 01-18 Private Support Organization Agreement with the SFA Real Estate Foundation 7 01-19 University Policies and Procedures 7 01-20 Vote on Dr. Nicholas Henry for President 7 01-21 Vote for Dr. Charles Scifres for President 8 01-22 Rejection of Jimmy Murphy's Resignation as Board Chair 8 01-23 Amendment to Section 9 of Board Rules and Regulations Regarding Appointment of a Presidential Screening Committee 8 01-24 Terminate Contract with Harold Webb and Associates 8 01-25 Seek New Firm for Presidential Search 8 01-26 Selection of New Presidential Search Screening Committee and Chair 8 01-27 Presidential Screening Committee Chair to Set Protocol and Provide Time Frame for Selection of Committee Members 8 Appendix No. 1 - Bids for Temporary Employment Services Contract 9 Appendix No. 2 - Visa/Mastercard and Discover Card Service Agreement 12 Appendix No. 3 - Budget Adjustment 13 Appendix No. 4 - Budget Changes 14 Appendix No. 5 - Ground Lease for NETnet 15 Appendix No. 6 - PSO Agreement with SFA Real Estate Foundation 17 Appendix No. 7 - Policy Changes 21 New Academic Advising for Undergraduate Students PI New Allocation of Information Technology Resources P2 New File Maintenance for Faculty Personnel Files P4 New Graduate Student Orientation and Advisement P6 New Travel P7 C-l.l Advance Airline Ticket Purchases P17 C-14 Foreign Travel P18 C-22 Non-Reimbursable Travel P19 C-33.1 Registration Fee P20 C-37 Travel Request P21 C-38 Travel Reimbursement P23 C-43 Travel Charge Card P28 C-46 Reporting Fiscal Misconduct P29 D-8.1 Computer and Network Security P33 D-13 Student Records P37 D-16 Hazing , P44 D-19 Illicit Drugs and Alcohol Abuse P46 D-21 Loudspeakers P55 D-23 Parades and Demonstrations P56 D-26 Public/Student Health P58 D-35 Students Displaying Serious Psychological Problems ..P59 F-15 Guest Speaker P61 F-16 Accessibility for Persons with Disabilities P63 F-24 Scholarship Disbursement P65 MINUTES OF THE MEETING BOARD OF REGENTS STEPHEN R AUSTIN STATE UNIVERSITY NACOGDOCHES, TEXAS OCTOBER 31, 2000 The meeting was called to order at 9:00 a.m. by Chair Jimmy Murphy. Board members present in Room 307: R. A. Brookshire, Penny Butler, Mike Enoch, Pattye Greer, Gary Lopez, Susan Roberds, and Mike Wilhite. Absent: Lyn Stevens, who joined the meeting prior to the executive session at 9:50 a.m. Others present in Board Room 307: Roland Smith, Janelle Ashley, Baker Pattillo, Scott Beasley, other SFA administrators, faculty, and staff, and members of the public. 01-01 Upon motion of Regent Roberds, seconded by Regent Greer, with all members voting aye, it was ordered that the minutes of August 1,2000 and September 26,2000 be approved. 01-02 Upon motion of Regent Wilhite, seconded by Regent Enoch, with all members voting aye, it was ordered that the following appointments be approved. 1. Admissions Ms. Lori D. Murphree, Admissions Counselor, B.S. (Stephen F. Austin), at a salary of $23,200 for 100% time for twelve months, effective September 1,2000. 2. Biology Ms. Mary E. Garrett, Lab Coordinator, M.S. (Stephen F. Austin), at a salary of $35,000 for 100% time for nine months, effective September 1, 2000. 3. Communication Mr. Charles Wells, Lecturer, M.S. (Florida State University), at a salary of $23,500 for 100% time for nine months, effective September 1,2000. 4. English/Philosophy Dr. Rachel Jennings, Visiting Assistant Professor, Ph.D. (University of Texas at Austin), at a salary of $30,000 for 100% time for nine months, effective September 1,2000. Dr. Andrew Kaufman, Visiting Assistant Professor, Ph.D. (University of Toronto), at a salary of $30,000 for 100% time for nine months, effective September 1, 2000. Dr. Karen R. Kornweibel, Visiting Assistant Professor, Ph.D. (University of Texas at Austin), at a salary of $30,000 for 100% time for nine months, effective September 1,2000. Mr. Caleb Mason, Visiting Assistant Professor, M.Ph. (Columbia University), at a salary of $30,000 for 100% time for nine months, effective September 1,2000. 5. Human Services Dr; Carol Harrison, Visiting Professor, Ed.D. (Texas A&M University), at a salary,of $37,500 for 100% time for nine months, effective September 1, 2000. 6. Library Mr. Jeffrey M. Elliott, AARC Assistant Director, M.A. (University of Tennessee), at a salary of $31,000 for 100% time for ten and one-half months, effective September 1,2000. Ms. Mary Elizabeth Pierce, AARC SI Program Director, M.S. (Stephen F. Austin), at a salary of $30,000 for 100% time for ten and one-half months, effective September 1,2000. 7. Mathematics and Statistics Mr. Jesse F. Fagan, Lecturer, M.S. (Texas Tech University), at a salary of $30,000 for 100% time for nine months, effective September 1, 2000. Mr. Xiaoxing L. Liu, Lecturer, M.S. (Mississippi State University), at a salary of $30,000 for 100% time for nine months, effective September 1, 2000. 8. Modern Languages Dr. Jeana Paul-Urena, Visiting Instructor, Ph.D. (Texas Tech University), at a salary of $30,000 for 100% time for nine months, effective September 1, 2000. 9. Music Mr. Christopher M. Anderson, Instructor and Assistant Director of Band, M.M. (Northwestern University), at a salary of $42,000 for 100% time for nine months, effective September 1,2000. Mr. Michael Noel Dean, Instructor, M.M.Ed. (Texas Tech University), at a salary of $34,000 for 100% time for nine months, effective September 1, 2000. Dr. Stacie A. Thompson, Visiting Assistant Professor, D.M.A. (Michigan State University), at a salary of $31,500 for 100% time for nine months, effective September 1,2000. 10. Nursing Ms. Karen A. Kincaid, Clinical Instructor, (University of Texas Health Science Center at San Antonio), at a salary of $40,000 for 100% time for nine months, effective September 1,2000. Ms. Claudia Whitlatch, Clinical Instructor, MSN (University of Texas at Austin), at a salary of $37,000 for 100% time for nine months, effective September 1, 2000. 11. Secondary Education Dr. C. Michelle Hooper, Assistant Professor, Ph.D. (Oregon State University), at a salary of $37,000 for 100% time for nine months, effective September 1, 2000. 12. Social Work Ms. Wilma Cordova, Lecturer, MSW (Michigan State University), at a salary of $37,000 for 100% time for nine months, effective September 1, 2000. 13. Theatre Dr. James B. Williams, Visiting Assistant Professor, Ph.D. (Bowling Green State University), at a salary of $32,500 for 100% time for nine months, effective September 1,2000. Mr. Michael W. Wiseman, Technical Director, M.A. (Stephen F. Austin), at a salary of $28,376 for 100% time for eleven months, effective September 1,2000. 14. Athletics Mr. Alexander M. Gibby, Assistant Track Coach/Coordinator, at a salary of $20,000 for 100% time for nine months, effective September 1, 2000. Mr. Ron Weston McCown, Assistant Track Coach/Instructor, at a salary of $26,451 for ten and one-half months, effective September 1,2000. Ms. Heather P. Turnbow, Assistant Softball Coach/Adjunct Faculty, at a salary of $20,000 for 100% time for ten and one-half months, effective September 1, 2000. 15. Information Technology Services Mr. Jon A. Armstrong, Assistant Director, at a salary of $59,500 for 100% time for twelve months, effective August 21,2000. Ms. Mary T. Joy, Network Support Specialist, at a salary of $26,200 for 100% time for twelve months, effective July 24,2000. Ms. Barbara C. Verratti, Programmer Analyst I, at a salary of $27,000 for 100% time for twelve months, effective September 1,2000. 16. Public Affairs Mr. William R. Brock, Publications Editor, at a salary of $26,000 for 100% time for thirteen months, effective July 24, 2000. 17. University Advancement Ms/Karri E. Davis, Special Programs Coordinator, at a salary of $26,000 for 100% ttime for twelve months, effecive August 7, 2000. Mr. Adrian C. Matthys, Telemarketing Program Supervisor, at a salary of $25,000 for 100% time for twelve months, effective August 14,2000. 18. Controller Ms. Judy Duffin, from Accounting Supervisor, at a salary of $28,100 for 100% time for twelve months, to Manager, Payroll Services, at a salary of $32,000 for 100% time for twelve months, effective September 11, 2000. 01-03 Upon motion of Regent Roberds, seconded by Regent Greer, with all members voting aye, it was ordered that the following changes of status be approved. 1. English/Philosophy Dr. Terry J. Box, from Interim Chair and Professor at a salary of $72,220 for 100% time for eleven months to Professor at a salary of $61,305 for 100% time for nine months. 2. History Dr. Robert N. Mathis, from Chair and Professor at a salary of $71,740 for 100% time for eleven months to Professor at a salary of $60,897 for 100% time for nine months. 3. Psychology Dr. Heinz Gaylord, from Chair and Professor at a salary of $85,698 for 100% time for twelve months to Professor at a salary of $66,684 for 100% time for nine months. 4. Athletics Mr. Darren Fort, from Athletic Certification Officer, at a salary of $34,381 for 100% time for twelve months, to Assistant Athletic Director, at a salary of $44,381 for 100% time for twelve months, effective September 1,2000. Mr. Philip Olson, from Men's Track Coach/ Instructor, at a salary of $44,979 for 100% time for ten and one-half months, to Head Track Coach/Instructor, at a salary of $51,998 for 100% time for twelve months, effective September 1,2000. 5. Auxiliary Services Ms. Shelly S. Lackey, from Manager in Controller's Office, at a salary of $36,528 for 100% time for twelve months to Assistant to Director, Auxiliary Services, at a salary of $45,000 for 100% time for twelve months, effective August 14, 2000. 6. Seconcjary Education and Educational Leadership Dr. Buster Duke Brannen, Professor, from retirement to Family Medical Leave Act at a salary of $50,593, effective August 23, 2000. 01-04 Upon motion of Regent Greer, seconded by Regent Wilhite, with all members voting aye, it was ordered that It is recommended by the administration that the following retirements be accepted. 1. Biology Dr. Jack D. McCuilough, Professor, effective December 31,2000. 2. English/Philosophy Mr. Richard Lower, Assistant Professor, effective July 5, 2000. 3. General Business Dr. Donald A. Evans, Professor, effective July 5, 2000. 4. Mathematics Ms. Jane Ritter, Assistant Professor, effective August 11, 2000. 01-05 Upon motion of Regent Enoch, seconded by Regent Butler, with all members voting aye, it was ordered that It is recommended by the administration that the following request for retirement and subsequent modification of employment be approved: Dr. John P. Harlan, Criminal Justice, effective September 1,2001. 01-06 Upon motion of Regent Lopez, seconded by Regent Roberds, with all members voting aye, it was ordered that It is recommended by the administration that the Temporary Employment Services Contract be awarded to Kelly Services. 01-07 Upon motion of Regent Butler, seconded by Regent Wilhite, with all members voting aye, it was ordered that the Fall 2000 Underenrolled Class List be approved. 01-08 Upon motion of Regent Roberds, seconded by Regent Lopez, with all members voting aye, it was ordered that It is recommended by the administration that the President or Interim President of Stephen F. Austin State University be authorized to designate persons to approve the University's expenditures. 01-09 Upon motion of Regent Roberds, seconded by Regent Greer, with all members voting aye, it was ordered that It is recommended by the administration that the revenue and expenditure budgets for Food Services be increased $106,000. 01-10 Upon motion of Regent Roberds, seconded by Regent Butler, with all members voting aye, it was ordered that approval be given to Bancorp South Fredonia (former Fredonia Bank) to provide the University's Visa/Mastercard processing services for the period December 1,2000 through November 30,2001, with four annual renewals, subject to administrative approval. It is further recommended that approval be given to Discover Card services to provide the University's Discover Card processing service. The proposed contract reduces the service fee on transactions from 2.2% to 2.1% and adds a $0.05 per-transaction fee for Discover Card processing. 01-11 Upon motion of Regent Lopez, seconded by Regent Roberds, with all members voting aye, it was ordered that approval be given to adjustments to the FY 2001 Budget as shown in Appendix No. 3. 01-12 Upon motion of Regent Wilhite, seconded by Regent Greer, with all members voting aye, it was ordered that the University be authorized to make lighting repairs to the Kennedy Auditorium, at a cost not to exceed $80,000, and that the President be authorized to sign the necessary contracts or purchase orders. Source of funds: HEAF. 01-13 Upon motion of Regent Wilhite, seconded by Regent Greer, with all members voting aye, it was ordered that that the University be authorized to make the proposed improvements at the Poultry Research Center as funds become available, with total cost not to exceed $50,000. 01-14 Upon motion of Regent Wilhite, seconded by Regent Greer, with all members voting aye, it was ordered that the University be authorized to replace the air handlers in Hall 10 at a cost not to exceed $125,000. Source of funds is auxiliary repairs and renovation funds budgeted for FY-01. 01-15 Upon motion of Regent Wilhite, seconded by Regent Roberds, with all members voting aye, it was ordered that the University be authorized to purchase the property at 225 East College pending results of a phase II environmental site assessment. Total cost, including the property, closing fees, surveys, environmental site assessment, and appraisals are not to exceed $360,000. The administration is authorized to proceed with the purchase using the eminent domain process if necessary. Source of funds: HEAP. 01-16 Upon motion of Regent Wilhite, seconded by Regent Butler, with all members voting aye, it was ordered that approval be given to the University's participation in the NETnet consortium and that the President be authorized to enter into the finalized ground lease for construction of the network hub telecommunications tower after review by General Counsel. Tower site is to be designated by SFA. 01-17 Upon motion,pf Regent Wilhite, seconded by Regent Enoch, with all members voting aye, it was ordered that authorization be given to enter a request for voluntary annexation of the Science Research Center property by the City of Nacogdoches and to initiate discussions with the City for extension of sewer-main service to the property. Any cost proposal for the sewer main requiring approval by the Board of Regents will be placed on a future agenda. 01-18 Upon motion of Regent Roberds, seconded by Regent Enoch, with all members voting aye, it was ordered that the Executive Committee be authorized to approve the private support organization agreement between the Stephen F. Austin State University Real Estate Foundation, Inc., and the University when all considerations have been resolved to the satisfaction of the Executive Committee. 01-19 Upon motion of Regent Roberds, seconded by Regent Lopez, with all members voting aye, it was ordered that the policy revisions be approved as presented, with the exception of Policy F-24, Scholarship Disbursement, which was tabled. REPORTS A. Dr, Kandy Stahl, Chair, Faculty Senate B. Interim President, Dr. Roland Smith The Board entered Executive Session at 9:50 a.m. to discuss the presidential candidates (Section 551.074), and returned to Open Session at 11:50 a.m. 01-20 Regent Wilhite made a motion for Dr. Nicholas Henry as President. Regent Greer seconded the motion. Chair Murphy asked for a roll call vote. The votes were as follows: Susan Roberds, nay; Mike Wilhite, yes; R. A. Brookshire, nay; Mike Enoch, nay; Gary Lopez, nay; Penny Butler, yes; Lyn Stevens, nay; Pattye Greer, yes. 01-21 Lyn Stevens made a motion for Dr. Charles Scifres as President. Mike Wilhite seconded the motion. The roll call vote was as follows: Susan Roberds, nay; Mike Wilhite, yes; R. A. Brookshire, nay; Mike Enoch, nay; Gary Lopez, nay; Penny Butler, nay; Lyn Stevens, yes; Pattye Greer, nay. After the vote, Jimmy Murphy read a prepared statement regarding the presidential search process and resigned as chair and left the meeting. Vice Chair Pattye Greer assumed responsibility for conducting the meeting. R. A. Brookshire said he was sorry to see Jimmy Murphy take the action he did. He said he disagreed with Mr. Murphy's assertion that the Board's vote would set the University back fifty years or initiate proceedings to move SFA into a system. Mr. Brookshire said his vote indicated his concern and continued support for the University. Pattye Greer called the Board into Executive Session to receive legal advice regarding the selection process (Section 551.071) at 12:30 p.m., and returned to Open Session at 1:10 p.m. 01-22 Susan Roberds made a motion not to accept the resignation of Jimmy Murphy as Chair. Penny Butler seconded the motion, and the vote was unanimous. 01-23 Lyn Stevens made a motion to amend Section 9 of the Board of Regents Rules and Regulations. The amendment requires that membership in the Presidential Screening Committee be selected by a majority vote of the Board of Regents. Mike Enoch seconded the motion, and the vote was unanimous. 01-24 mj . f Mike Enoch made a motion to terminate the relationship with the current presidential search firm, Harold Webb and Associates, and pay all fees and expenses to the firm. Lyn Stevens seconded the motion. Vote was 6 ayes to 1 nay, with Mr. Wilhite voting nay. 01-25 Gary Lopez made a motion to begin the process to select a new search firm. Susan Roberds seconded the motion. Vote 6 ayes to 1 nay, with Mr. Wilhite voting nay. 01-26 . Lyn Stevens made a motion to have a new presidential screening committee as provided under revised Section 9 of the Regents Rules and Regulations. In his motion, he nominated Susan Roberds as Chair of the Screening Committee. Mike Enoch seconded the motion, and the vote was unanimous. 01-27 Lyn Stevens made a motion to empower the chair of the Screening Committee to set the protocol and provide a time frame for the purpose of selecting members for the Screening Committee. Gary Lopez seconded the motion. Vote was unanimous. Mike Wilhite made a motion to adjourn the meeting. Mike Enoch seconded the motion, and vote was unanimous. Meeting adjourned at 1:45 p.m. 8 1 I 9 Kelly Services has been asked to consider whether any hourly/overtime rates could be reduced based on SFA pay scale and prior year man hours. 10 PROCEDURES FOR USE AND MONITORING OF TEMPORARY EMPLOYMENT SERVICES CONTRACT 1. Department faxes the request for a temporary worker to Human Resources and Purchasing. Physical Plant faxes or calls their requests directly to Kelly Services. 2. Humaii Resources will review and notify Kelly Services and forward the departmental request. 3. Purchasing will encumber funds. If funds are not available, Purchasing will contact Financial Services to coordinate the encumbrance. Physical Plant encumbrances and funding will be established at the beginning of the year. 4. Kelly Services will provide the temporary worker. 5. Kelly Services will provide, to Human Resources and Purchasing, monthly reports of man hours worked by department and position, including Physical Plant positions. 11 RFP #CCMS00-01 OPENING DATE 10/3/00 V/M - VISA/MASTERCARD $ amt/# of transactions Sep 99-Aug 00 PACKAGED RATE Make Good funds in 2 days V/M Discount Fees Transaction Fees $9,805,557.08 41227 One time Set Up Fee for all locations: One time Reprogramming Fee: GRAND TOTAL EVALUATION: ?. Bancorp South Fredonia 3 RFP recfd 10/3/00 10:13am c HSP enclosed 2.10% $205,916.70 ; N/C; $205,916.70 American Express . RFP rec'd 10/2/00 :11:56am No HSP " Recommends the University / : enter into a direct contractual ■'■ arrangement with AmEx by ; ; signing a -participation I agreement" to participate in the card acceptance ; ; agreement AmEx recently ■'. entered into with the State ; of Texas. $27,558.11 $2,759.00 $30,317.11 L $236,233.81 * See response from Discover for discount fee. *♦ The qty of Discover transactions is estimated based on the total Discover dollars divided by the average transaction amount ■ Regions Bank ? RFP rec'd 10/3/00 10:43am •NO PROPOSAL i Not compatible with MAPP software '■: driver for voice system. ; Bank of America ' RFP rec'd 10/3/00 11:48am Incomplete HSP PROPOSAL NOT CONSIDERED -LATE • -INCOMPLETE HSP NDC RFP rec'd 10/3/00 11:07am - PROPOSAL NOT '-CONSIDERED . -LATE ^Bancorp South reserved the right : the part of the private support organization or donor. The agreement will address and govern all aspects of conduct of the University and its employees in the relationship between the private support organization or donor and the University and its employees including, but not limited to, the following: A. Administration and investment of funds received by the organization for the benefit of the University; B. Use of an employee or property of the University by the donor or organization; C. Service by an officer or employee of the University as an officer or director of the donor or organization; and D. Monetary enrichment of an officer or employee of the University by the donor or organization; Nothing in this policy requires that the University include only the above provisions as subject matter in the agreement between the University and the private support organization or donor. The Board has the responsibility to enter into that form of agreement which the Board, in the exercise of its statutory authority, determines is in the best interest of the University. Neither this policy nor any agreement entered into by the University may conflict or supersede a requirement of a state or federal statute regulating the conduct of a University employee or regulating the policies and procedures of the University. Source of Authority: Board of Regents Cross Reference: None Contact for Revision: President Forms: None 21 Appendix No. 7 Policies for Board Review October 31,2000 22 Academic Advising for Undergraduate Students New Original Implementation: October 31, 2000 Academic colleges, schools and departments should provide all their undergraduate students, both full-time and part-time, with a systematic, effective advising program. All students who are required and those who choose to be advised prior to every registration period are to be advised individually according to the following guidelines: • all students with fewer than 61 earned hours of credit and all students on academic probation must be advised prior to each registration period by which time the student should have on file an official degree plan; • students with more than 61 earned hours of credit must be advised on an annual basis and may be advised more frequently if desired; • individual Colleges may specify additional requirements of students for mandatory advising by working with the office of Information Technology Services to implement additional registration holds; • the advising process includes releasing the hold that will allow the student to register. Each academic unit responsible for advising students must have an appropriate number of advisors available daily during the specified dates for advising prior to each registration period. The responsibility of the advisor will include but may not be limited to: • advising the student on degree requirements such as core, major or other required courses, proper sequencing of courses, minimum credit hours, minimum grade-point averages, removal of withheld grades and time limits for completion of degree programs; • advising the student on University requirements such as minimum course load to be classified as a full-time student, impact of repeat courses on grade point average, timetable for dropping individual courses and the impact on grade point average, residency requirements; • assisting the student with the process of applying for graduation. Academic advising programs for undergraduate students must be appropriately evaluated and included in the annual unit assessment report, including information on how the results of the assessment will be used to enhance effective assistance to students. Source of Authority: Vice President for Academic Affairs Cross Reference: Current General Bulletin, Student Handbook. Contact for Revision: Vice President for Academic Affairs Forms: None PI Allocation of Information Technology Resources Original Implementation: October 31, 2000 Last Revision: None New RESOURCE ALLOCATION The allocation of Information Technology Resources is consistent with the University's strategic plan as submitted to the State of Texas Legislative Budgeting Office every biennium. Within the strategic plan is a separate appendix for Information Resource (IR) goals, objectives, and action items for the next five years. These items are updated every biennium and are consistent with the institution's purpose and goals. Three organizational entities are responsible for executing the IR Strategic Plan: Information Technology Services (IS), Office of Instructional Technology (OIT), and the University Library. These three entities provide central IR services for the campus. The following chart displays the organization and functional responsibilities for these IR services. -< President V.P. University Affairs V.P. Academic Affairs Academic Technology Committee 1 Library Campus Webmaster Commercial Electronic Information Resources Instructional Research Support Faculty Research Support Distance Learning Library Coordination (including Internet) Electronic Resource- Based Instruction Records Retention Management Student Help Desk V. P. Advancement V.P. Business Affairs Computing Telecommunications Advisory Committee 1 Office of Instructional Technology Coordination of: Distance Education Distributed Learning Environments Technology Research and Development Faculty Training/Consultation University Information Systems Help Desk (Faculty and Staff) Personal Computer Repair Administrative Systems Telecommunications (Voice) Networking (Data and Video) Central Host Systems and Server Components P2 The remaining IR responsibility is with the seven colleges and respective deans. Each college is responsible for offering state-of-the-art computer labs and faculty desktop computing and for providing technical support for hardware and software resources. Allocation of information technology resources is aligned with implementation of institutional goals, objectives, and strategies. The following table summarizes the physical electronic environment consisting of SFA hardware platforms, operating systems and database management systems. SFA Platforms. Systems, and Telecommunications Source of Authority: President Cross Reference: None Contact for Revision: Vice President for Business Affairs Forms for Implementation: None P3 File Maintenance for Faculty Personnel Files New Original Implementation: October 31,2000 Last Revision: None The Southern Association of Colleges and Schools requires that the university keep on file for all full-time and part-time faculty members documentation of academic preparation including official transcripts, and, if appropriate for demonstrating competency, official documentation of professional and work experience, technical and performance competency, records of publications, certifications and other qualifications. To meet that requirement, the following guidelines have been established which address the contents of the file as well as the designated place for maintaining the file. Filed in Office of Vice President for Academic Affairs: I. Tenured/Tenure Track Faculty: Professor, Associate Professor, Assistant Professor, Instructor, Librarian I, II, III or IV - 9 month, 100% time, tenure track 1) Personnel Action Request form (green copy) 2) Recommendation for Appointment form 3) Signed contract issued by VPAA office 4) Post-hire form 5) Official transcripts from all degree granting institutions attended 6) Three letters of reference H. Visiting (Rank), Lecturer, Librarian I-T, II-T, III-T, or IV-T, Designated (full-time) - 9 month, 100% time, non-tenure track 1) Personnel Action Request form (green copy) 2) Recommendation for Appointment form 3) Signed contract issued by VPAA office 4) Post-hire form 5) Official transcripts from all degree granting institutions attended 6) Three letters of reference Filed in Office of Dean: L Adjunct, Designated (part-time) - 4.5 to 9 months, less than 100% time, non tenure track 1) Personnel Action Request form (blue copy) 2) Signed contract issued by Dean's office 3) Post-hire form 4) Official transcripts from all degree granting institutions attended 5) Three letters of reference P4 n. Graduate Teaching Assistant - Enrolled graduate student, 50% time or less, non tenure track 1) Personnel Action Request form (blue copy) 2) Signed contract issued by Dean's office 3) Post-hire form 4) Official transcripts from all degree granting institutions attended 5) Three letters of reference Note: See Policy E-IA, Academic Appointments and Titles, for definition of titles. Source of Authority: Vice President for Academic Affairs Cross Reference: Policy and Procedure Manual, Faculty Handbook Contact for Revision: Vice President for Academic Affairs Forms: None P5 Graduate Student Orientation and Advisement New Original Implementation: October 31,2000 Last Revision: None Academic departments offering graduate programs should provide all of their graduate students, both full-time and part-time, with a systematic, effective program of orientation and academic advising. All students are to be assigned a graduate faculty member as an advisor to direct the student during his or her program of studies. The responsibility of the advisor will include but may not be limited to: • providing or arranging for an orientation to departmental organization, administration, key personnel, facilities and procedures; • directing the student to University resources, guidelines, procedures, and policies which may affect the student's graduate experience; • informing the student of the program's relationship to the college, university, and external agencies; • providing an orientation to the registration process, including dates, procedures, early registration, restrictions, and other information; • advising the student on degree requirements such as core or required courses, proper sequencing of courses, minimum credit hours, minimum grade-point averages, removal of withheld grades, thesis vs. non-thesis option, transfer courses, and time limits for completion of degree programs; • advising the student on Graduate School requirements such as admission to candidacy, maintaining good academic standing in the Graduate School, comprehensive examinations, thesis approval procedures, thesis/exhibition/dissertation examinations, and policies and procedures relevant to taking (and retaking) comprehensive or thesis examinations; • providing the student with an explanation of academic honesty in the classroom and in research; • advising the student on his or her rights and responsibilities and pointing out the process of appealing decisions and/or the actions of others; and • assisting the student with the process of applying for graduation and completing all documentation required for graduation. Departmental orientation and advising programs must be appropriately evaluated and included in the annual departmental assessment report, including information on how the results of the assessment will be used to enhance effective assistance to students. Source of Authority: Vice President for Academic Affairs Cross Reference: Current Graduate Bulletin, Graduate Student Handbook, Student Handbook. Contact for Revision: Associate Vice President for Graduate Studies and Research Forms: None P6 Travel New Original Implementation: October 31,2000 Last Revision: None Applicability This policy applies to employees and prospective employees traveling in a University capacity except members of the Board of Regents and the President, who are exempt, and intercollegiate athletics. All policies, rules, and regulations related to travel on behalf of, or in connection with, intercollegiate athletics are included in the current issue of the Intercollegiate Athletics Policy Manual The travel regulations contained in this policy apply to all University funds. The reimbursement limits established by this policy may be exceeded only if funds are available in* and the additional costs are charged to, a discretionary account controlled by the budget manager authorizing the additional expenditure. For this policy, discretionary funds shall be defined as specified accounts established for the sole purpose of discretionary use. General Travel Regulations The State of Texas Travel Allowance Guide is the authoritative document regarding travel rules and regulations. The Guide is located in the Controller's Office and at http://www.sfasu.edu/controller/travindex.html. Employees, and others traveling on behalf of the University, are not reimbursed on a flat per diem basis. Instead, they are reimbursed for actual meal and lodging expenses, subject to the provisions of this policy. Travel Request Except as stated in the Applicability section of this policy, anyone traveling on University business must obtain permission in advance of the trip. A Travel Request form (available from University Printing Services and at http://www.sfasu.edu/controller/travindex.htmD must be submitted and approved at all applicable levels, as indicated on the form, whether or not expenses will be incurred. All expenses to be paid or reimbursed by the University are to be reflected on the Travel Request, regardless of whether they are to be prepaid. A Travel Request is not required for prospective employees. The Controller's Office uses the Travel Request to encumber funds against the appropriate account(s). The Travel Request will be approved by the Controller's Office only when account balances are sufficient to cover the total estimated cost of the trip. Travel to Washington, D.C. Before traveling to Washington, D. C, an employee shall inform the Texas Office of State-Federal Relations about the timing and purpose of the trip, and provide the office with the name of a person who may be contacted for additional information about the trip. A completed form, Report for State Agency Travel to Washington, D. C. (available at http://www.sfasu.edu/controller/travindex.html\ will meet this requirement. P7 Foreign Travel Official University business travel to any foreign country other than Canada or Mexico requires advance written approval from the University's President. Additionally, travel to any foreign country other than Canada or Mexico with the use of Educational and General (E&G) funds (account numbers 1-XXXXX) requires advance written approval from the Governor of Texas. The traveler must request approval from the Governor at least 30 days prior to departure. This request is made by completing a Request for Governor's Approval for State Employees Traveling to Foreign Countries form (available at http://www.sfasu.edu/controller/travindex.htmn. To be considered for approval, foreign travel must be directly related to the University's mission and must require a duty that cannot be performed without the travel. A completed Travel Request form (available from University Printing Services and at http://www.sfasu.edu/controller/travindex.html) must be routed through the appropriate administrative channels in sufficient time to be approved by the President prior to the date of departure. When required, a copy of the Governor's approval must be attached to the Travel Request when it is initially submitted to the President. Charge Card for Travel Expenses A Bank of America individual corporate charge card is available for eligible employees who wish to charge travel expenses. In order to apply, the employee must take, or expect to take, three (3) or more business trips per fiscal year, or expend at least $500 per fiscal year for official State business. The State-issued Bank of America individual corporate charge card is to be used for business-related charges only while traveling on official State business. Use of the card for personal business is considered a violation of State policy and the employee may be subject to disciplinary action. The individual whose name appears on the card is solely responsible for payment of the account. If the card is suspended or cancelled for misuse or nonpayment, the employee will be ineligible for travel advances from the University. An employee is not required to accept a State-issued charge card. However, all airfare to be paid from Educational and General (E&G) accounts (account numbers 1- XXXXX) must be charged to one of the State's contract charge accounts: either the State-issued individual corporate charge card or the University's charge card (Airfare Billing Form, available from University Printing Services). No payment can be made from E&G accounts unless airfare is purchased by one of these two methods. If the application is approved by Bank of America, the employee agrees to be bound by the Corporate Card and Commercial Card Cardmember Agreement which will be sent with each card. Additionally, the employee agrees to be bound by the State policies governing the use of the Card. Applications and further information concerning this program are available in the Controller's Office or at http://www.sfasu.edu/controller/travindex.html. The application must be signed by the employee, the employee's supervisor, and the travel manager in the Controller's Office. P8 Advance Travel Funds Advance travel funds are available for employees who wish to obtain money in advance of the trip. These funds may be requested on the Travel Request for: (1) employees ineligible for the Bank of America individual corporate charge card, (2) group travel, or (3) travel with particularly unusual circumstances (reason must be specified on the Travel Request form). The minimum amount of advance funds that can be obtained is $100. The Travel Request should be received by the Controller's Office at least five (5) working days prior to departure. Generally, the requested funds will be available at the University Business Office at least one working day prior to departure. Advance travel funds will be issued by a check made payable to the individual requesting the funds. As a condition of receiving advance travel funds, the employee agrees to refund any excess (amount advanced less documented eligible expenditures on the Travel Voucher) within 30 days from the ending date of the trip. An advance travel check will only be issued prior to the trip. No advancement is authorized if the trip has already occurred. The traveler should submit a Travel Voucher for reimbursement subsequent to the trip. Travel Voucher (Travel Expense Documentation and Reimbursement) In order to receive reimbursement, travel expenditures must be documented on a Travel Voucher (available from University Printing Services and at http://www.sfasu.edu/controller/travindex.htmn signed by the traveler and the account manager. The Travel Voucher must reflect the total actual reimbursable expenses of the trip, regardless of whether advance travel funds were received. Receipts are required for most travel expenses (see applicable section of this policy for specific details), except meals. Meal receipts are required only in the case of group travel. The Travel Voucher should be submitted, with receipts attached, to the Controller's Office within 30 days from the ending date of the trip. No reimbursements will be made and all encumbrances will be cancelled 30 days after the end of the fiscal yean The State of Texas Travel Allowance Guide can be useful in the completion of Travel Vouchers. It provides comprehensive information on travel procedures and the proper classification of travel related expenditures. A current copy of the Guide is available in the Controller's Office or at http://www.sfasu.edu/controller/travindex.html. Foreign Currency Conversion All amounts listed on the Travel Voucher must be converted to U.S. dollars using the rate applicable on the date of the expenditure. A foreign currency conversion table is available at http://www.sfasu.edu/controller/travindex.html. Documentation of the conversion calculation must be attached to the Travel Voucher. P9 Reimbursement Rates - Lodging Reimbursement may not exceed the amount of lodging expenses actually incurred at a commercial lodging establishment, subject to maximum allowances stated below. The original itemized lodging receipt, attached to the Travel Voucher, is required. The State Travel Management Program of the General Services Commission has contracted with several commercial lodging establishments for special rates. The contracted vendors and rates are listed in the Texas State Travel Directory, which is distributed to each department. Employees are encouraged to utilize the contracted vendors when possible. In-State Travelers may be reimbursed for the actual cost of lodging, not to exceed seventy dollars ($70) per day. Additionally, they may be reimbursed for local taxes on the allowable lodging cost. State tax on in-state lodging will not be reimbursed to State employees. Instead, State employees must submit a completed Texas Hotel Occupancy Tax Exemption Certificate (available from University Printing Services and at http://www.sfasu.edu/controller/travindex.htmn to commercial lodging establishments at check-in. Employees should also be prepared to show proof of State employment. Out-of-State The maximum reimbursement rates for out-of-state lodging are provided by the Texas State Comptroller. A list of the rates, which is updated from time to time, is available at http://www.sfasu.edu/controller/travindex.html. Within the continental United States, lodging reimbursement is limited to the locality-based allowance as stated on the list. For cities and counties not included on the list, the allowance is the median rate established in that state for lodging. Applicable taxes on the allowable lodging costs may also be reimbursed. Travelers to Alaska, Hawaii, or a. foreign country may be reimbursed for actual, reasonable costs. If the actual cost of lodging exceeds a locality's lodging allowance, an employee may reduce the maximum meal reimbursement rate for that locality and use the reduction to increase the lodging reimbursement rate for that locality. No such adjustment can be made to increase the maximum meal reimbursement rate. Shared Lodging When two or more employees share lodging, each employee must pay and claim their prorated share of the cost. The University will reimburse each employee his share of the lodging expense, not to exceed the applicable maximum lodging reimbursement rate. A list of names of those sharing the same room should be attached to each Travel Voucher. P10 If only one of the individuals sharing lodging is an employee, then the amount that the employee may be reimbursed for lodging expenses is the lesser of the single occupancy room rate or the maximum lodging reimbursement rate. Reimbursement Rates - Meals Employees may be reimbursed for meal expenditures while away from campus if the travel requires them to be at least 25 miles from the University for at least six (6) consecutive hours during the calendar day. Meals are reimbursed at the lower of actual cost or the following meal allowances: IN-STATE *OUT-OF-STATE Breakfast $ 4.25 17% of locality-based allowance Luncfi $8.25 33% of locality-based allowance Dinner $ 12.50 50% of locality-based allowance Total $25.00 • Within the continental United States, meal reimbursement is limited to the locality-based allowance (list available at http://www.sfasu.edu/controller/travindex.htmn provided by the Texas State Comptroller. For cities and counties not included on the list, the allowance is the median rate established in that state for meals. Travelers to Alaska, Hawaii, or a foreign country may be reimbursed for actual, reasonable costs. The following timetable indicates which meals are reimbursable: Breakfast Travel includes 8:00 a.m. or before Lunch Travel includes 11:30 a.m. - 1:30 p.m. Dinner Travel includes 6:00 p.m. and after Actual meal expenses without overnight stay are reimbursable, not to exceed the in-state rates listed above, regardless of the travel location. Internal Revenue Service rules (Publication 463) state "y°u cannot deduct the cost of meals if it is not necessary for you to stop for sleep or rest to properly perform your duties." Therefore, all reimbursement for meals without overnight stay is taxable to the employee. The reimbursement will be paid monthly in the employee's regular payroll check, and taxes will be withheld. Additional guidelines for meal reimbursement: • Some registration fees include meals. In this case, the registration fee is fully reimbursable but no additional amount can be claimed for the included meals. • Meals purchased for the traveler by another person are not reimbursable. • In the case of employees traveling together, each must pay and claim their prorated share. • Tips, gratuities, and alcoholic beverages are not reimbursable. • Meal receipts are not required, except for group travel. Pll Reimbursement Rates - Mileage The number of reimbursable miles traveled by an employee may not exceed the number of miles of the most cost-effective route. The shortest route between points, including the use of all farm-to-market roads, is presumed to be the most cost-effective route. The Texas Comptroller of Public Accounts Mileage Guide (available at http://www.sfasu.edu/controller/travindex.html) calculates the mileage between two locations. When both locations are in the Mileage Guide database, the employee may be reimbursed for either the number of miles (1) calculated by the Mileage Guide or (2) calculated from the employee's odometer. When one or both locations are not in the Mileage Guide database, the number of reimbursable miles is calculated from the employee's odometer. Mileage determined by use of the employee's odometer must be itemized on a point-to-point basis on the Travel Voucher. Any vicinity mileage at the destination location must also be itemized separately on a point-to-point basis. For the purposes of this paragraph, "point" means a building, house, highway intersection, or other similarly-localized spot. The reimbursement rate for use of an employee's personal vehicle is established by the State legislature. That rate is specified in the State of Texas Travel Allowance Guide (available in the Controller's Office or at http://www.sfasu.edu/controller/travindex.html) or as updated by the Texas State Comptroller. Four-Per-Car-Rule Coordination of travel must occur when two, three, or four employees travel on the same dates with the same itinerary to conduct the same official State business. When coordination of travel is required, only one employee may be reimbursed for mileage. Reimbursement Rates - When Representing the University President If the President is unable to attend a meeting or conference, the President may designate, on an individual trip basis, one employee as a representative to travel. Under this provision, the employee is reimbursed for actual expenses, not to exceed twice the maximum allowance rates for lodging and meals specified by this policy. The Travel Voucher must be accompanied by the original designating document from the President. Receipts are required as specified in this policy. Registration Fees The registration fee for attendance at a professional meeting is reimbursable if the fee was approved on the Travel Request. The fee must be shown as a miscellaneous expense on the Travel Voucher, with the original receipt attached. Attendance at in-town conferences does not require a Travel Request. Employees may be reimbursed for in-town registration fees by submitting a completed Travel Voucher, as they would for any other travel reimbursement. The description should indicate that the conference was in Nacogdoches. P12 Some registration fees include meals. In this case, the registration fee is folly reimbursable but no additional amount can be claimed for the included meals. Prepayment of Registration Fees by University When requested, the University will prepay the registration fee for official business conferences and seminars. If the meeting is being held out-of-town, the employee must first obtain approval to travel by isubmitting a Travel Request showing the registration fee as an estimated cost of the trip. Additionally, a completed Purchase Voucher (available from University Printing Services and at http://www.sfasu.edu/controller/travindex.htmD and registration form must be submitted to the Controller's Office well in advance of the payment due date. Airline Ticket Purchases Any airline ticket expense, whether to be prepaid or reimbursed, must be listed on the approved Travel Request. All airfare to be paid from Educational and General (E&G) accounts (account numbers 1-XXXXX) must be charged to one of the State's contract charge accounts: either the state-issued individual corporate charge card or the University's charge card (Airfare Billing Form, available from University Printing Services). No payment can be made from E&G accounts unless airfare is purchased by one of these two methods. The State Travel Management Program of the General Services Commission has contracted with several airlines to provide special airfare rates for certain flights. University employees traveling on official State business are encouraged to use these contracted rates when possible. A listing of the flights and rates is available at http://www.sfasu.edu/controller/travindex.html. An employee who wishes to charge an airline ticket directly to the University must submit an Airfare Billing Form (available from University Printing Services) to the Controller's Office. After approval, the employee must present the signed form to a local participating travel agency (list available at http://www.sfasu.edu/controller/travindex.html. The travel agency will book the flight and charge the expense to the University rather than to the employee. The original receipt, attached to the Travel Voucher, is required for airline ticket reimbursement. Airline ticket reimbursement to the employee will be made only after completion of the travel. The University cannot reimburse an employee for the cost of air transportation by a person who is not a commercial transportation company. Motor Vehicle Rentals If approved on the Travel Request, most expenses of renting a motor vehicle are reimbursable. The daily rate, applicable taxes, and other mandatory charges are reimbursable. An additional driver charge is reimbursable if it is incurred for an official State business reason. Also, collision damage waiver and loss damage waiver expenses are reimbursable if they are not already included in the contracted rate (see next P13 paragraph). The following expenses are not reimbursable: liability insurance supplement; personal accident insurance; safe trip insurance; personal effects insurance. The State Travel Management Program of the General Services Commission has contracted with several vehicle rental agencies to provide special rental rates. Most rates include unlimited free mileage, free loss damage waiver, and free primary liability coverage. University employees traveling on official State business are encouraged to use these contracted rates when possible. A listing of the agencies and rates is available at http://www.sfasu.edu/controller/travindex.html. A detailed receipt from the motor vehicle rental company, attached to the Travel Voucher, is required for reimbursement of motor vehicle rental expenses. *■* Incidental Expenses Expenses for ground transportation such as taxi, limousine, subway, bus and other modes of mass transit are reimbursable, subject to the provisions of this section. All expenses must be listed on the approved Travel Request and Travel Voucher. Limousine expenses are reimbursable if it was the least costly transportation available considering all relevant circumstances. If two or more State employees share a taxi or limousine, only the employee who paid for the transportation may be reimbursed for that expense. Other official business expenses (e.g., parking, telephone calls, and copy services) are also reimbursable. Receipts are requested, but not required, for reimbursement of these incidental expenses. If receipts are not provided, an explanation of the reimbursable expenses must be detailed on the Travel Voucher (including type of expense, date, amount and location). The following are not reimbursable: expenses of a personal nature; expenses that would be incurred by the employee regardless of official State business travel; tips and gratuities; alcoholic beverages. Student and Other GroupTravel When a group travels together, it may be more convenient for one person to pay and claim expenses of the entire group. In this case, the person paying the expenses will be responsible for submitting the Travel Request and the Travel Voucher. Receipts are required for all expenses of group travel, including meals. Additionally, a list of names of all travelers must be attached to the Travel Request and Travel Voucher. The group sponsor/advisor may request advance travel funds to pay expenses for the group (refer to the Advance Travel Funds section of this policy for procedures). The sponsor/advisor will be solely responsible for claiming reimbursement on the Travel Voucher, and for repayment of the advance travel funds. Sponsors/advisors of group travel are encouraged to contact the travel manager in the Controller's Office prior to the trip for helpful record-keeping tips. P14 Employees traveling together are not considered group travel. Each employee must pay and claim his/her own expenses. No Educational and General funds (account numbers 1-XXXXX) may be used to pay or reimburse travel expenses for students. All other provisions of this policy apply to student travel. Prospective Employees All provisions of this policy apply to prospective employees, except they are not required to submit a Travel Request. Non-Reimbursable Travel Travel requests may be approved on a non-reimbursement basis for purposes that will not conflict with other University policy and as approved in advance of travel through appropriate procedures. Approval on a non-reimbursement basis may be given for travel: regarded as official University business, but for which funds are not approved; associated with approved outside employment and consistent with the guidelines pertaining thereto (Policy E-35); necessitated by faculty when providing consultant services related to the academic programs of the University; that complies with the Leave of Absence policies (Policies E-29A and E-30N) of the University; deemed consistent with the University's mission; necessitated by personal business that cannot otherwise be scheduled; or when approved annual leave is being used. In any event of absence from class, the instructor is not to dismiss class but is to arrange for an appropriate replacement. Moreover, only in extraordinary situations will travel be approved that will result in the instructor missing the same class more than twice in succession. Source of Authority: Texas State Comptroller; Vice President for Business Affairs; State Travel Management Program of the General Services Commission; Governor's Policy on Foreign Travel; Internal Revenue Service; Vice President for Academic Affairs Cross Reference: Intercollegiate Athletics Policy Manual; State of Texas Travel Allowance Guide; Texas State Travel Directory; Internal Revenue Service, Publication 463; Texas Comptroller of Public Accounts Mileage Guide; Outside Employment, Policy E-35; Leave of Absence (Faculty), Policy E-29A; Leave of Absence (Non-Academic), Policy E-30N Contact for Revision: Controller P15 Forms: Travel Request, Travel Voucher, Texas Hotel Occupancy Tax Exemption Certificate, and Purchase Voucher (all available from University Printing Services and at http://www.sfasu.edu/controller/travindex.html): Report for State Agency Travel to Washington, D.C. and Request for Governor's Approval for State Employees Traveling to Foreign Countries (both available at http://www.sfasu.edu/controller/travindex.htmn: Bank of America Corporate Travel Charge Card Application (available from travel manager in Controller's Office); Airfare Billing Form (available from University Printing Services) Questions regarding the preparation of forms mentioned in this policy should be directed to the Controller's Office. P16 Advance Airlino Ticket Purchases —C-Ll Original Implementation: Unpublished Last Revision: October 11,1997 An employee wishing to travel on University funds should first obtain approval by submitting a Travel Request through appropriate administrative channels which includes the estimated cost of the airfare. An employee who wishes to book a flight which is billed directly to the University must submit an "Airfare Billing Form" to the Controller's Office for approval After approval by that office, the employee should present the signed form to a local travel agency to obtain a flight booking which will be billed to the University. Any airline ticket purchase not made through this procedure will be reimbursed to tho employee only after completion of the authorized travel. Source of Authority: Vice President for Business Affairs Cross Reference: None Contact For Revision: University Controller Forms: Travel Request, see Index C 37; Airfare Billing Form (both available in University Printing P17 Foreign Travel G-44 Original Implementation: Unpublished Last Revision: January 25, 2000 Travel for official University business by Stephen F. Austin State University employees outside the United States or its possessions, Canada, and Mexico, for which any reimbursement is received, requires advance approval of the University President (or the appropriate vice president in the President's absence). Additionally, travel for official University business by Stephen F. Austin State University employees outside the United States or its,posscssions, Canada, and Mexico, which involves the use of state funds requires advance approval from the Governor of Texas. To be approved, foreign travel must be directly related to the University's mission and . must require a duty that cannot be performed without the ft* nxrai hA U. » V/JL • A completed "Travel Request" form must be routed through the appropriate administrative channels in sufficient time to be approved by the Office of the President prior to the date of departure. When required, a copy of the Governor's approval must be attached to the Travel Request when it is initially submitted to the President. Source of Authority: Sec. 660.021, Tx Gov Code, VTCS, President, Sec. 9 5.10(h), General Appropriations Act, 76th Texas Legislature Cross Roferencei State of Texas Travel Allowance Guide Contact For Revision: President Forms: Travel Request, see Index C 37 P18 Non Roimbursablo Travel Original Implementation: Unpublished Last Revision: July 27,1999 Travel requests may be approved on a n : basis for purposes that will not rnnflirt vn't^ nfanT University policy and ac approved ii appropriate procedures. travel through Approval on a non reii it basis may be given for travel: 1 .rftgnrrinri nr nffinjni University business, but for which funds c 2.associatcd with app d outsid are not approved; ploy ith the guidelines pertaining thereto; —3 .necessitated by faculty when providi academic programs of the University; —4 .that complies with the L )f Absence policy of the University; 5.decmod consistent with the University's mission of service, teaching and/or research; 6.neccssitated by personal business that cannot otherwise bo scheduled; or 7.approved when annual leave is being used. In any event of absence from class, the instruct for an appropriate replacement. M dismiss class but is to arrange r, onl ill travel approved that will result in the instruct nary situations will trav :lass more than twice in succession. Source of Authority: Vice President for Academic Affairs Cross Reference: Leave of Absence (Faculty), Policy E 29A; Leave of Absence (Non Academic), Policy E 30N; Travel Request, Policy C 37; Outside Employment, Policy E Contact for Revision: Vice President for Academic Affairs Forms: Travel Request P19 Registration Foos C-33.1 Original Implementation: Unpublished Last Revision: April 21, 1998 The University will pay the registration fee for official business conferences and seminars. If the conference is being held out of town, the employee must first obtain approval to travel by submitting a Travel Request which includes the registration foe in the estimated costs of the intended trip. The employee registering for the conference or workshop should submit a completed Purchase Voucher to the Controller's Office well in advance of the conference. An employee who pays the registration fee from personal funds may be reimbursed by including it as a miscellaneous expense on his Travel Voucher if the fee was approved on the Travel Request or he may submit a completed Purchase Voucher if the trip did not require out of town travel. Some registration fees include meals, lodging and other expenses related to travel. If such expenses are included in the registration fee which has been paid through a purchase voucher prior to travel, these expenses may not be reimbursed on a Travel Voucher" to the employee. The State of Texas Travel Allowance Guide provides comprehensive information on travel procedures and the proper classification of travel related expenditures. A copy of the guide is distributed by the Controller's office. Source of Authority; Vice President for Business Affairs Cross Reference: State of Texas Travel Allowance Guide Contact for Revision; Controller Forms: Purchase Voucher (see C 31), Travel Reimbursement (see C 38), P20 Travel Request —— p. 37 Original Implementation: September 1,1988 Last Revision: January 25,2000 State employees and others authorized to travel on official business of tho University (employees) must obtain permission to do so in advance of the trip by submitting a Travel Request form, whether or not expenses will be incurred. Members of the Board of Regents are exempt from the Travel Request requirement. This policy applies to employees traveling in any capacity unrelated to intercollegiate athletics. All policies, rules, and regulations related to travel on behalf of or in connection with intercollegiate athletics are included in the current issue of the Intercollegiate Athletics Policy Manual. A Bank of America Corporate Card is available for eligible travelers of the University who wish to charge travel expenses. Applications and further information concerning this program are available in the Controller's Office. Advance travel funds may be requested with the Travel Request form for persons not eligible for the Bank of America corporate card, for group travel, and for travel with particularly unusual circumstances (must be specified). The minimum amount of advance funds that can be obtained is $100. If advance funds are required, the request should be received by the Controller's Office at least five (5) working days prior to departure. Generally, the requested funds will be available at the University Business Office at least one working day prior to departure. Advance travel funds will be issued by a check made payable to the individual requesting the funds. The Travel Request must be initiated and authorized at the departmental level. For academic departments, the request must be approved by the appropriate dean and forwarded to the Vice President for Academic Affairs for final approval. For administrative staff, the Travel Request must be approved through appropriate administrative channels. It must then be sent to the appropriate vice president or President for final approval. Partial per diem payments require the President's approval. After final approval, the request must be routed to the Controller's Office. Before traveling to Washington, D. C, an employee shall inform the Office of State Federal Relations about the timing and purpose of the trip and provide the office with the name of a person who may be contacted for additional information about the trip. A form, P21 Report for Stage Agency Travel to Washington, D. C, is available to meet this requirement. Before traveling to any foreign country other than Canada or Mexico, an employee shall obtain advance written approval of the University's President. Travel to any foreign country other than Canada or Mexico with the use of state funds requires advance written approval from the Governor of Texas. Refer to Foreign Travel, Policy C 11 for the approval requirements and to The State of Texas Travel Allowance Guide for exceptions to the reimbursement limits. Source Of Authority; Vice President for Business Affairs Cross Reference: Foreign Travel, Policy C 11, State of Texas Travel Allowance Guide Contact For Revision; Controller Forms: Travel Request (available in University Printing Sendees) and Report for State Agency Travel to Washington, D. C. P22 Travel Reimbursement Original Implementation: September, 1990 Last Revision: October 21, 1998 General Information State employees and others authorized to travel on official b (employees) must complete a Travel Request (See Policy C 37) f< of the University ipproval in advance of the actual travel. If the travel i by the University, they should be listed on the Travel Request. Members of the Board of Regents arc exempt from the Travel Request requirement. Employ efficiently to conserve the University's fii st travel economically and at- xpenditures should occur at the lowest possible levels, sklem sk t circumstances. Each employee requesting reimbursement should submit days after completion of the travel. el Voucher within thirty (30) The State Comptroller's Office publishes "The State of Tex to assist employees in the completion of travel vouchers. A each department by the Controller's Office. ; Travel Allowance Guide" urrent copy is provided to The travel regulations contained in this policy apply to all University funds unless otherwise noted. This policy does not apply to travel related to arcollegiate athletics. All policies, rules, and regulations for travel on behalf of or in connection with intercollegiate athletics are included in the current issue of the Intercollegiate Athletics Policy Manual. Reimbursement Rates Lodging The actual lodging receipt is required for reimbursement. If the actual lodging receipt is lost, a copy of the receipt or a credit card receipt will bo accepted as proof of payment. Receipt must be attached to the Travel Voucher. In State P23 Effective September 1,1997, employees may be reimbursed for the actual cost of lodging not to exceed seventy dollars ($70) per day and the local taxes only on the allowable lodging cost. rOvu t of State Employees traveling within the continental United States may be reimbursed for the actual cost of lodging not to exceed the locality based allowance for that location as established in the "Federal Travel Regulations Guide". They may be reimbursed for the applicable taxes only on the allowable lodging costs. Travel Reimbursement Employees traveling to localities not listed in the Federal Travel Regulations receive the lowest flat rate established in that state for lodging. If the actual cost of lodging exceeds a travel locality's lodging allowance, an employee may reduce the maximum meal reimbursement rate for that locality and use the reduction to increase the maximum lodging reimbursement rate for that locality. Reimbursement Rates—Meals Employees may be reimbursed for meal expenditures while away from campus only if the travel requires them to be at least 25 miles from the locality of the University for at least six (6) consecutive hours. Food and/or beverage expenditures for other than meals are not reimbursable. Funds appropriated by the General Appropriations Act may not be used to purchase or reimburse an employee for the purchase of an alcoholic beverage. Appropriate business entertainment expenses involving meals may be reimbursed pursuant to the Food Purchases policy, Policy C 13, and are exempt from the distance and time requirements. In State Meals are reimbursed at the lower of actual cost or the following meal allowances: P24 Breakfast $1.25 Lunch 8.25 Dinner 12.50 Total $25.00 Receipts are not required for meal reimbursements but reimbursement is available only if the employee purchases and consumes a meal in accord with the distance and time standards. Meals included as part of a registration or conference fee or which are purchased for the employee are not reimbursable under this provision of the policy. Employees required to travel away from the campus on official business not requiring an overnight stay may be entitled to the stated meal allowance if the distance traveled (one way) is at least twenty five miles and the time away from campus is at least six consecutive hours. Out of State Employees may be reimbursed for the actual cost of meals not to exceed the locality based allowance for that location as established in the Federal Travel Regulations Guide. If the travel is to a locality not listed in the federal regulations, employees will receive the lowest flat rate established in that state for meals. Reimbursement Rates Mileage Reimbursement for use of an employee's personal vehicle is calculated at the rate specified in the current "State of Texas Travel Allowance Guide". Mileage is based on the shortest highway distance, including the use of all farm to market roads, and must be itemized on a point to point basis. Mileage is determined by the "Official State Mileage Guide" published by the Statistical Research Service. Group Travel—Lodging Group travel occurs if two or more employees travel together to the same location. Employees sharing lodging may consolidate or separate lodging claims. In cases of shared lodging, the Travel Voucher must clearly indicate by name the other employee(s) P25 sharing the room. The total reimbursement for lodging cannot exceed the lesser of the actual lodging charge or an amount equal to the number of employees in the group times the individual lodging rate established in this policy. Travel At Actual Expenses If the President is unable to attend a meeting or conference, the President may designate, on an individual trip basis, one employee as a representative to travel on an actual expense status. Under this provision, the allowance rates for lodging and meals specified by this policy do not apply. The Travel Voucher for reimbursement of these claims must be accompanied by originals of the designating document and paid receipts for which reimbursement is requested. Student Travel No state appropriated funds may be used to pay or reimburse travel expenses for students. All other provisions of this policy apply to student travel. (See Group Travel section) If the number of students in the group exceeds twenty, the name of the group may be substituted for the list of names. Commercial Travel Employees who travel by commercial airline should use their individual corporate American Express card to charge their airline ticket. See Advanced Airline Ticket Purchases, Policy C 1.1, for the appropriate procedure if the flight must be booked ten or more days in advance to obtain the lowest fare. Incidental Expenses Reimbursement for official business expenses other than transportation, meals, or lodging, e.g., ground transportation, telephone calls, copy sendees, etc., may be requested if original receipts are attached to the approved Travel Voucher. The following are not reimbursable: expenses of a personal nature; expenses that would be incurred by the employee regardless of official state business travel; and tips and gratuities. P26 Registration Fees Registration cost for attendance at a professional meeting is reimbursable if the original receipt is attached to the approved Travel Voucher. Reimbursement Limits The cost limits established by this policy may be exceeded only if funds arc available in and the additional costs are charged to a discretionary account controlled by the budget manager authorizing the additional expenditure. For this policy, discretionary funds shall be defined as specified accounts established for appropriate officials for the sole purpose of discretionary use. Source Of Authority; Comptroller, State of Texas; Vice President for Business Affairs Cross Rcforcnco; Advanced Airline Ticket Purchase, Policy C 1.1; Food Purchases, Policy C 13, Travel Request Policy C 37, and "The State of Texas Travel Allowance Guide" A copy of the current "State of Texas Travel Allowance Guide" is distributed by the Controller's Office to each department. The travel guide provides comprehensive information on travel procedures and the proper classification of travel related expenditures. Questions regarding the preparation of travel vouchers should be directed to the Controller's office. Contact For Revision: Controller Forms: Travel Voucher P27 Travel Charge Card C-43 Original Implementation: January 19, 1999 Last Revision: January 25,2000 An Bank of America Corporate Card is available for eligible travelers of the University who take, or expect to take three (3) or more business trips per fiscal year, or expend at loast $500 per fiscal year for official state business. The state issued Bank of America Corporate Card is to be used for business related charges only. By accepting the charge card, the employee accepts the responsibility for paying all charges timely and agrees that the charge card is intended for state business travel use only. The Bank of America Corporate Card issued to an employee remains the property of the State of Texas and should be used only for official state business charges while away from the University. Use of the Bank of America Corporate Card by an employee for personal business is considered a violation of state policy and will be subject to corrective action. The State Travel Management Program and the University will receive monthly reports of charges made on all charge cards and the status of payments. Charges will be reviewed for compliance with guidelines stipulated on the Charge Card Agreement signed by the employee at the time of application. If an account ages to sixty (60) days past due, Bank of America may impose a 2.5% ($20 minimum) late charge. The late charge will be assessed 60 days from the statement date in which the charges considered past due were billed. The Vice President for Business Affairs will be responsible for monitoring charges and payment status on all individual corporate charge cards issued to University employees and to ensure compliance with the regulations and penalties stipulated on the Charge Card Agreement. . Sourco of Authority; State Travel Management Program, Charge Card Sendees, 1 TAC sec. 125.9; Vice President for Business Affairs Cross Reference; Travel Request, Policy C 37 Contact for Revision; Controller Forms; Card Use Agreement P28 Reporting Fiscal Misconduct C-46 Original Implementation: January 28,1997 Last Revision: HvaeOctober 30, 2000 INTRODUCTION This policy establishes procedures and responsibilities for reporting and resolving instances of known or suspected fiscal misconduct. The intent of the policy is to protect the assets and interests of the University, prescribe a coordinated approach toward investigation and resolution of fiscal misconduct and outline specific responsibilities for individuals responding to the investigation of a fiscal misconduct event. Retaliation for filing a good faith report regarding suspected fiscal misconduct is prohibited by this policy, and is cause for disciplinary action, up to and including termination. DEFINITIONS A) University - Stephen F. Austin State University and all of its components, regardless of the source of funding. B) Employee - All personnel employed by the University, including faculty, staff, and students. C) Fiscal Misconduct - Defalcation, misappropriation, and other fiscal irregularities, including but not limited to: 1) dishonest, illegal, or fraudulent acts involving University property; 2) forgery or alteration of checks, drafts, promissory notes, and securities; 3) forgery or unauthorized alteration by employees of employee benefit or salary-related items such as time sheets, payroll documents, billings, claims, surrenders, assignments, or changes in beneficiary; 4) forgery or unauthorized alteration by employees of student related items such as grades, transcripts, loans, fees, financial aid applications, financial aid records; 5) misappropriation of funds, securities, supplies, or any other asset of the University; 6) illegal or fraudulent handling or reporting of money transactions; 7) employee acceptance or solicitation of any gift, favor, or service that might reasonably tend to influence the employee in the discharge of his or her official duties; P29 8) destruction or disappearance of records, furniture, fixtures, or equipment where theft is suspected. D) Suspected Fiscal Misconduct - A reasonable belief or actual knowledge that fiscal misconduct has or is occurring. Failure to show an actual diversion of assets or loss shall not be considered unreasonable belief. POLICY AND PROCEDURE Any employee of the University who knows of or suspects fiscal misconduct must promptly notify his or her immediate supervisor and/or one of the following investigative units: the Department of Audit Services, the Office of General Counsel, the University Police Department or the Personnel Department. The University Police Department or Office of General Counsel are the preferred primary contacts. The unit contacted shall contact the remaining three units as appropriate to establish the necessary investigative team and procedures. All affected departments and/or individuals shall cooperate fully with the investigative team to identify whether or not actual fiscal misconduct has occurred. The investigative team shall update University administration of the progress of all investigations. The scope of and individuals subject to investigations are to be considered in determining the extent and nature of notification. The results of all investigations will be reported to the President of the University. Management is responsible for establishing and maintaining a system of internal control that provides reasonable assurance that improprieties are prevented and detected. Each manager should be familiar with the types of improprieties that might occur in his or her area and be alert for any indication that such a defalcation, misappropriation, or other fiscal irregularity has occurred. Management will support the University's fiduciary responsibilities and will cooperate with law enforcement agencies in the detection, investigation, and reporting of criminal acts, including prosecution of offenders. Every effort should be made to recover University losses. The Office of Audit Services will supervise all audits of allegations of defalcation, misappropriation, and other fiscal irregularities. When an audit reveals suspected criminal activity, or an audit is initiated due to an allegation of criminal activity, the University Police will be notified immediately and the audit will proceed under their direction. When an audit involves allegations or reveals suspected criminal activity which may constitute a felony offense, the Chief of Police shall, when appropriate, immediately notify the President or his designee. The Director of Audit Services shall keep the University Police informed regarding the progress of the audit. P30 The University Police, Office of Audit Services, and Office of the General Counsel will coordinate assistance provided to State, Federal, and local law enforcement agencies in connection with felony fraud investigations. All requests for information and/or assistance from such agencies, received by any other component of the University, shall be immediately forwarded to the University Police for determination and handling. All reasonable assistance will be given to law enforcement agencies when requested. All requests for information and assistance related to investigations conducted by auditors of federal and state agencies, which are concerned with potential dishonest or fraudulent activities within the University, shall be forwarded immediately to the Director of Audit Services for consultation with the Office of General Counsel. In order to avoid the use of investigative techniques that might prevent evidence from being used in a criminal prosecution, University Police will coordinate the criminal investigation once probable criminal activity has been detected. The Office of Audit Services shall assist the University Police in investigations of suspected defalcation, misappropriation, and other fiscal irregularities that require accounting and auditing knowledge of University records. In order to protect the reputations of innocent persons initially suspected of wrongful conduct and to protect the University from potential civil liability, the results of investigations and attendant audits will not be disclosed or discussed with anyone other than authorized representatives of law enforcement and/or regulatory agencies and only those persons associated with the University who have a legitimate need to know such results in order to perform their duties and responsibilities, subject to provisions of the Texas Open Records Act. INVESTIGATIONS AND ATTENDANT AUDITS Audits revealing violations of the Penal Code for which an audit report will be issued shall be reduced to final report form only after consultation by University Police with the local prosecutor or the Office of General Counsel to ensure that appropriate documentation of the facts has been achieved in order to permit appropriate personnel action, protect innocent persons, support appropriate civil or criminal actions, document claims made pursuant to applicable fidelity bonds, preserve the integrity of criminal investigation and prosecution and avoid unnecessary litigation. Great care must be taken in the investigation of suspected improprieties or irregularities to avoid incorrect accusations or alerting suspected individuals that an investigation or audit is underway and also to avoid making statements which could provide a basis for a lawsuit for false accusation or other offense. The reporting individual should not: 1) contact the suspected individual to determine facts or demand restitution; or 2) discuss the facts, suspicions, or allegations associated with the case with anyone, unless specifically directed to do so by the Office of Audit Services, University Police, or Office of the General Counsel. P31 All inquiries from the suspected individual, their representative or their attorney shall be directed to the Office of General Counsel without further comment. All reproduction of documents, evidence, and reports shall be performed within the secured work area of the University Police or Office of Audit Services. Any requests to release or review such documents will be coordinated through the Office of the General Counsel. To the extent permitted by the applicable provisions of the Texas Open Records Act, confidentiality of those reporting dishonest or fraudulent activities will be maintained. However, the confidentiality cannot be maintained if that individual is required to serve as a witness in legal proceedings. When an audit initiated due to an allegation of criminal activity has failed to detect criminal activity or when advised by the Office of General Counsel, the Director of Audit Services has the discretion to stop"-the audit. The Office of University Police retains authority to review the progress of criminal investigations and to determine whether to pursue a criminal prosecution. AUDIT FINDINGS Each investigation of possible dishonest or fraudulent activities has the potential to provide valuable insight into University activities. Investigations may disclose control weaknesses or other deficiencies that require additional auditing or attention by management. The Office of Audit Services shall consider the nature and extent of the investigation and complete any additional audit work necessary to provide management with information for appropriate action. SOURCE OF AUTHORITY: Board of Regents CROSS REFERENCE: None CONTACT FOR REVISION: Vice President for Business Affairs FORMS: None P32 Computer & Network Security D Original Implementation: January 24,1995 Last Revision: July 27, \999October 31, 2000 Purpose To establish conditions for use of, and requirements for appropriate security to cover University computers, available information technology, and networks. Scope This policy is effective at all University locations or data centers and represents the minimum requirements that must be in place. Individual areas that have computers and networks may have additional controls and security, but they are in addition to this Policy. Computer & Network Security This policy is effective at all University locations or >in^ ™»nt»rr. nnH ™pn».r.p.ntp. tho minimum requirements that must be in place. Individual areas that have computers and networks may have additional controls and security, but they aro in addition to this policy. Responsibility The University Computing and Telecommunications Advisory Committee is responsible for the development of university-wide policies, controls and procedures to protect the university network and information systems from intentional or inadvertent modification, disclosure of confidential information, or destruction. The committee is also responsible for education of the campus community in the ethical use of computer information and network facilities. Policy At each data center, appropriate security shall include: 1. Protection of the privacy of confidential information 2. Protection of information against unauthorized modification 3. Protection of systems against unauthorized access In order to maintain such security, the university reserves the right to: 1. Limit, restrict, or terminate an account holder's usage 2. Inspect, copy, remove, or otherwise alter any data, file, or system resource that may undermine the authorized use of that system, with or without prior notice to the user. P33 3. Periodically check the systems and take any other such actions necessary to protect the university computers, information, and networks. Each data center facility at Stephen F. Austin State University must develop an internal security document to cover such details as the type of access controls (minimum length of passwords, other type of accessing, etc.), disaster recovery plans, contingency plans for continuous operation in case of power outages, etc. Those documents are considered to be part of this policy statement. The University shall not be liable for, and the user assumes the risk of, loss of data or interference with files resulting from the University's efforts to maintain the privacy and security of the University's computer, information and network facilities. Access to, and use of, computers and computer networks Individuals are expected to exercise responsible, ethical behavior when using the University's computer, information, networks or resources. 1. Access to some university computer systems, accounts and resources is limited to designated individuals. Access is provided through the establishment of an account. Issuance of passwords and designation of some computer accounts must be approved in writing through the respective dean or director (or designated representative) of the administrative unit. The unauthorized use of university computer systems, accounts and resources; the unauthorized use of another person's computer account; and the provision of false or misleading information systems are prohibited and will be subject to the sanctions described in this policy. 2. Each user is responsible for understanding and complying with the security rules of University computer systems. Authorized users shall take all reasonable precautions to prevent use of University computer systems by unauthorized persons. 3. Use of another person's account or access to the university's computer system without authorization is prohibited. Authorization shall not be given for anyone to use another's account(s) unless such authorization is specifically requested in writing, and approved in writing by the account owner and the respective dean or director (or authorized representative) of the computer or network. The authorized user(s) of an account is (are) responsible for all usage on that account. Account owners shall take all reasonable precautions, including password maintenance and file protection measures, to prevent use of account by unauthorized persons. Account must only be used for the purpose for which they were authorized. P34 4. Users have the responsibility to use available mechanisms and procedures to protect their own programs, programs in software libraries, and data. They also are responsible for assisting in the protection of the systems they use. 5. Individuals programs, programs in software libraries, and data that belong to another account shall not be accessed or copied without prior authorization from the account holder. Individuals may not transport such files to other computer sites without written permission. 6. Computer software protected by copyright is not to be copied from, into or by using University computers, except as permitted by law or by the license or contract with the owner of the copyright. The software license or contract will define number of copies, simultaneous users, machine exclusivity, etc. It is the responsibility of the individual and department which orders/purchases the software to read and follow the terms of the software license agreement. 7. Because the University is an Internet Service Provider (ISP) for faculty, staff and students, it must comply with the Federal Digital Millennium Copyright Act. This means disciplinary action including termination of service may be taken on any reported copyright infringements that have been investigated and eotormined determined valid, (see www.arl.org/info/frn/copv/dmca.html') 8. University computer systems are reserved for use only for University-related activities. (See Chapter 39 of the Texas Penal Code for provisions dealing with the misuse of state property) The intentional deletion or alteration of information or data of others, intentional misuse of system resources, and permitting misuse of system resources by others is prohibited. 9. Individuals aware of any breach of information system or network security, or compromise of computer security safeguards, must report such situations to the dean or director (or designated representative) of the data center in which the incident occurred. The data center representative will contact other campus departments as appropriate. Sanctions for policy violations Violation of any provision of this policy may result in but are not limited to: (i) a limitation on a user's access to some or all University computer systems, (ii) the initiation of legal action by the University, including, but not limited to, criminal prosecution under appropriate State and Federal laws (See Chapter 33 of the Texas Penal Code), (iii) the requirement of the violator to provide restitution for any improper use of service, and (iv) disciplinary sanctions, which may include dismissal. Applicable University discipline and/or P35 discharge policies will be followed in the imposition of sanctions related to a violation of this policy. Course and work related access to computers and computer networks Many academic courses and work-related activities require the use of computers, networks and systems of the University. In the event of an imposed restriction or termination of access to some or all University computers and systems, a user enrolled in such courses or involved in computer related work activities may be required to use alternative facilities, if any, to satisfy the obligation of such courses or work activity. However, users are advised that if such alternative facilities are unavailable or not feasible, the users bear the responsibility for failure to complete requirements for course work or work responsibility. Source of Authority: Vice President for Academic Affairs and Vice President for Business Affairs Cross Reference: None Contact for Revision: Computing and Telecommunications Advisory Committee Forms: None Return to Policy & Procedure Main Page P36 STUDENT RECORDS D-13 Original Implementation: 1974 Last Revision: January 19, \999October 30, 2000 The purpose of this policy is to comply with federal law which: (1) grants to students the right of access to their education records, (2) protects students from illegal use of their education records, (3) restricts the disclosure of the social security account number of students. 1. Definitions For the purposes of this policy, the University adopts the following definitions: a. Student means any person who attends or who has attended the University. b. Education records means any record (in handwriting, print, tapes, film, or other medium) maintained by the University or an agent of the University which is directly related to a student, except: (1) a personal record kept by a staff member, if it is kept in the personal possession of the individual who made the record, and information contained in the record has never been revealed or made available to any other person except the maker's temporary substitute; (2) an employment record of an individual whose employment is not contingent on the fact that he/she is a student, provided the record is used only in relation to the individuals employment; (3) records maintained by the University Police Department if the records are maintained solely for law enforcement purposes, are revealed only to law enforcement agencies of the same jurisdiction, and the Department does not have access to education records maintained by the University; (4) records maintained by University Health Services if the records are used only for treatment of a student and made available only to those persons providing the treatment; and, (5) alumni records which contain information about a student after he/she is no longer in attendance at the University and the records do not relate to the person as a student. 2. Annual Notification A brief description of the types of records, as well as student and institutional rights, shall be published annually in the Student Handbook and Activities Calendar. Specific P37 information may be obtained by consulting with administrative officials listed in this policy. 3, Student Rights Each student has the right: a. to be provided with a list of the types of education records maintained by the University; b. to inspect and review the contents of his/her records, excluding the exceptions included in this policy; c. \ to obtain copies of his/her records at personal expense; d. to explanations and interpretations of his/her records; and, e. to a hearing to challenge the contents of his/her records. 4, Procedure to Inspect Education Records Students may inspect and review their education records upon request to the appropriate record custodian. Students should submit to the record custodian or an appropriate University staff person a written request which identifies as precisely as possible the record or records he/she wishes to inspect. The record custodian or an appropriate University staff person will make the needed arrangements for access as promptly as possible and notify the student of the time and place where the records may be inspected. Access must be given in 45 days or less from the receipt of the request. When a record contains information about more than one student, the student may inspect and review only the records which relate to him/her. 5, Types and Custodians of Education Records P38 6. Fees for Copies of Records The fee for copies of education records will be ten (10) cents per page. 7. Right of University to Refuse Access S, The University reserves the right to refuse to permit a student to inspect the following records: a. the financial statement of the student's parents; b. letters and statements of recommendation for which the student has waived his/her right of access, or which were placed in file before January 1,1975; c. records connected with an application to attend the University if that application was denied; and, d. those records which are excluded from the definition of education records. 8. Refusal to Provide Copies The University reserves the right to deny transcripts or copies of records not required to be made available by law in any of the following situations. a. The student has an unpaid financial obligation to the University. b. There is an unresolved disciplinary action against the student. 9. Disclosure of Education Records The University will disclose information from a student's education records only with the written consent of the student, except: a. to school officials who have a legitimate educational interest in the records; (1) A school official is a person: (a) employed by the University in an administrative, supervisory, academic or research, or support staff position; P39 (b) appointed to the Board of Regents; (c) employed by or under contract to the University to perform a special task. (2) A school official has a legitimate educational interest if the official is: (a) performing a task that is specified in his/her job description or by a contract agreement; (b) performing a task related to a student's education; (c) performing a task related to student discipline; (d) providing a service or benefit relating to the student or student's family, such as health care, counseling, job placement or financial aid. b. to officials of another school, upon request, in which a student seeks or intends to enroll; c. to certain officials of the U.S. Department of Education, the Comptroller General, and state and local educational authorities, in connection with certain state or federally supported education programs; d. in connection with a student's request for or receipt of financial aid, as necessary to determine the eligibility, amount or conditions of the financial aid, or to enforce the terms and conditions of the aid; e. in compliance with a state law requiring disclosure that was adopted before November 19,1974; f. to organizations conducting certain studies for or on behalf of the University; g. to accrediting organizations to carry out their functions; h. to parents of an eligible student who claim the student as a dependent for income tax purposes; i. to comply with a judicial order or a lawfully issued subpoena; j. to appropriate parties in a health or safety emergency. P40 Proof of status from the requesting individual or organization will be required to gain access to education records. 10. Record of Requests for Disclosure The University will maintain a record of all requests for and/or disclosure of information from a student's education records. The record will indicate the name of the party making the request, any additional party to whom it may be disclosed, and the legitimate interest the party had in requesting or obtaining the information. The record of requests may be reviewed by the student. 11. Directory Information The University designates the following items as Directory Information: a. name, b. all address, including email c. all telephone numbers, d. maj or field of study, e. academic classification, f. participation in officially recognized activities and sports, g. weight and height of members of athletic teams, h. dates of attendance and enrollment status i. degrees and awards received, j. previous schools attended, aad k. photograph?, and I class roster. The University may disclose any of these items without prior written consent, unless the student notifies the Registrar in writing to the contrary by September 1 of each fiscal year. 12. Review and Destruction of Education Records P41 The University may destroy obsolete records provided the right to access has been followed as outlined in Section 3 of the Family Educational Rights and Privacy Act. 13. Correction of Education Records A student has the right to request a correction on his/her education records that they believe are inaccurate, misleading, or in violation of their privacy rights. The University shall attempt to settle the disputed contents of an education record by informal proceedings. If informal proceedings fail to achieve a satisfactory settlement, the student may request a formal hearing using the following procedures. a. To receive a hearing, a student must file a written request with the President \ of the University. In so doing, the student should identify the part of the 'education record he/she wants amended and specify why he/she believes it is inaccurate, misleading, or in violation of his/her privacy rights. b. Within 10 working days of receiving the request, the President will arrange for a hearing, and notify the student at least 5 working days in advance of the date, place, and time of the hearing. c. The hearing will be conducted and the decision rendered by a hearing officer, appointed by the President, who does not have a direct interest in the outcome of the case. The President shall name the hearing officer in the written notice sent to the student. d. The student shall be afforded a full and fair opportunity to present evidence relevant to the issues listed in the original request to amend his/her education records. e. The hearing officer will prepare a written decision based solely on the evidence presented at the hearing. f. If the hearing officer decides that the disputed contents of the education record are inaccurate, misleading, or in violation of the student's right to privacy, he/she will amend the record, and notify the student in writing that the record has been amended. • g. If the hearing officer decides that the disputed contents of the education record are not inaccurate, misleading, or in violation of the student's right to privacy, he/she will notify the student of his/her right to place a statement in the education record commenting on the disputed contents and/or a statement setting forth the student's reasons for disagreeing with the decision. h. The student's statement will be maintained as part of the student's education record as long as the disputed contents are maintained by the University. If P42 the University discloses the disputed contents of the education record to any person, it must also disclose the student's statement to the person. 14. Disclosure of Social Security Account Number Federal law requires that when any federal, state or local government agency requests an individual to disclose his/her social security account number (SSAN), that individual must also be advised whether that disclosure I s mandatory or voluntary, by what statutory or other authority the number is solicited, and what uses will be made of it. Accordingly, students, or applicants for admission as students, are advised that disclosure of a student's SSAN is mandatory as a condition for participation in certain activities at the University. Under the mandatory category, the SSAN is used to verify the identity of the student, and as an identifier to record necessary data accurately for such activities as admissions; housing and food services; determining and recording eligibility for student financial assistance to include loans, scholarships, and grants; student employment; recording entitlement to and disbursement and repayment of loans; recording entitlement to and payment of scholarships, grant allowances, and official student travel and per diem; determining and recording eligibility for and participation in athletic and similar events; and such other related requirements which may arise. Disclosure of a student's SSAN is voluntary for certain other activities. Under the voluntary category, the SSAN is used to verify the identity of the student and to record data accurately for such activities as testing, reporting and evaluation of the ACT and the SAT; recording and reporting student grades and related academic data; registering for placement services to include preparation of resumes and furnishing information to prospective employers and such other related uses which may arise. Authority for requiring the disclosure of a student's SSAN is grounded on Section 7(a)(2) of the federal statute which provides that an agency may continue to require disclosure of an individual's SSAN as a condition for the granting of a right, benefit, or privilege provided by law where the agency required this disclosure under statute or regulation prior to January 1, 1975, in order to verify the identity of an individual. The University has for several years requested the disclosure of the SSAN on student application forms and other necessary student forms and documents used pursuant to statutes passed by the State of Texas and the federal government and to regulations adopted by agencies of the State of Texas and the federal government, and by the Board of Regents of the University. Source Of Authority: Family Educational Rights and Privacy Act of 1974,20 U.S.C. sec. 1232 et seq.; 45 CFR sec. 99.01 et seq.; P.L. 93-579, sec. 7; President; Vice President for Academic Affairs; ORD 244 Cross Reference: SFA Web Pages Contact for Revision: General Counsel Forms: None P43 Hazing D-16 Original Implementation: September, 1987 Last Revision: October 11,1997October 31, 2000 \ Stephen F. Austin State University is unequivocally opposed to any activity by an organization or individual(s) within the organization that is herein defined as hazing. Definitions Hazing. Any intentional, knowing or reckless act occurring on or off campus by one person alone or acting with others, that endangers the mental or physical health or safety of a currently-enrolled or prospective student for the purpose of pledging new member intake, being initiated into, affiliating with or maintaining membership in that organization. Hazing acts include but are not limited to: 1. any type of physical brutality such as whipping, beating, striking, branding, electronic shocking, etc.; 2. any type of physical activity such as sleep deprivation, exposure to the elements, confinement in a small space, calisthenics or other activity that subjects the student to an unreasonable risk of harm or that adversely affects the mental or physical health or safety of the student; 3. any activity involving consumption of a food, liquid, alcoholic beverage, drug or substance which subjects the student to unreasonable risk or harm; 4. any activity that intimidates or threatens the student with ostracism, subjects the student to extreme mental stress, shame-eF, humiliation or that adversely affects the mental health or dignity of the student or discourages the student from entering or remaining at the institution; 5. any activity that induces, causes, or requires the student to perform a duty or task which involves a violation of the Penal Code. Committing an Offense. The organization and any individual involved in hazing commits an offense by: 1. engaging in hazing; 2. soliciting, encouraging, aiding or directing another engaging in hazing; 3. intentionally or knowinglypermitting hazing to occur; 4. having first-hand knowledge that a specific hazing incident has occurred and failing to report said knowledge in writing to the Dean of Student Development. Organization Hazing Offense. An organization commits an offense if the organization condones or encourages hazing or if an officer or any combination of members, pledges, or alumni of the organization commits or assists in the commission of hazing. Consent P44 It is not a defense to prosecution of an offense that the person against whom the hazing was directed consented to or acquiesced in the hazing activity. Penalties - University Individual. Each individual committing an offense is subject to University penalties ranging from probation to suspension, expulsion. Organization. Student organizations committing an offense may be placed on University probation and are subject to withdrawal of University recognition. Penalties - Criminal Individual. Penalties relative to criminal prosecution range from a fine of $1,000 and 180 days in jail for failure to report a hazing incident to a fine of $10,000 and two years in jail for an incident which causes the death of a student. Organization. The student organization may be penalized with a fine of up to $10,000 or double the expenses involved due to the injury. Notice of Policy To General Campus Community. This policy shall be published in the General Bulletin, SFASU Website Student Handbook and Activities Calendar, Schedule of Classes and The Pine Log so as to cause all students to be aware of the provisions of this policy. Of Offenders. A list of organizations that have been disciplined for hazing or convicted for hazing on or off campus during the previous three years shall be published in the same manner. The three year publication will begin as soon as the organizations' name can be placed in the next printing of the General Bulletin. Source of Authority: Texas Education Code, sees. 4.51 to 4.58; Board of Regents; President; Vice President for University Affairs Cross Reference: SFASU Web pages Student Handbook and Activities Calendar, General Bulletin Contact for Revision: Dean of Student Development Forms: None P45 Illicit Drugs and Alcohol Abuse D-19 Original Implementation: September 1,1986 Last Revision: January 20, \99Wctober 37, 2000 It is the declared policy of the United States Government to create a Drug-Free America by 1995. As a part of that policy, the Drug-Free Workplace Act of 1988, P.L. 100-690, Subtitle D was adopted. On December 12,1989, President Bush signed the Drug-Free Schools and Communities Act Amendment of 1989, P.L. 101-226, which amends provisions of the Drug-Free Schools and Communities Act of 1986 and the Higher Education Act of 1965. University policies relating to the use of illegal drugs and alcoholic Beverages have been established by the Board of Regents of Stephen F. Austin State University in compliance with state and federal law. Standards of Conduct University policy prohibits all employees (full-time and part-time faculty, staff, and students) from engaging in the unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance or alcoholic beverage in the workplace, or reporting to work under the influence of alcoholic beverages or illegal drugs. None of the funds appropriated to the University by the State Legislature for travel expenses may be expended for alcoholic beverages. University policy further stipulates, with regard to students, that the unauthorized use of intoxicating beverages on